About this role
Work Location: Mount Laurel, New Jersey, United States of America
Hours: 40
Pay Details: $91,000 - $145,600 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Line of Business: TD Wealth Job Description:
This role supports the execution and administration of key regulatory, supervisory, and risk management programs across TD Wealth. Responsible for the day-to-day implementation, monitoring, reporting, and control activities related to Conflicts of Interest, Regulation W, Transactions with Affiliates, Licensing & Registration, Marketing Review, and Business Continuity Planning. This role is a liaison with business partners, Compliance, Legal, Risk, Operations, and Human Resources to ensure regulatory requirements, supervisory controls, and program standards are effectively executed and maintained.
Depth & Scope:
Coordinates administration of the Wealth Conflicts of Interest programMaintains conflict inventories, logs, attestations, and supporting documentationPerforms monitoring activities and identifies potential conflicts requiring escalationTracks mitigation activities and facilitates follow-up with business stakeholdersPrepares reporting packages for governance committees and management reviewSupports licensing and registration activities for registered personnelMonitors renewal requirements, continuing education obligations, and registration statusesCoordinates regulatory filings, amendments, and updatesTracks exceptions and partners with Human Resources and Compliance to resolve deficienciesMaintains accurate records and documentation supporting regulatory requirementsCoordinates workflow associated with review and approval of marketing materials and sales communicationsEnsures submissions are routed through appropriate approval channelsMonitors turnaround times and approval statusMaintains records and evidence supporting supervisory review requirementsAssists with implementation of enhancements to marketing supervision processesPerforms monitoring and documentation activities supporting Regulation W complianceMaintains inventories of affiliate arrangements and transactionsCoordinates reviews and approvals with affected stakeholdersIdentifies exceptions, escalates concerns, and supports remediation activitiesPrepares reporting and documentation for periodic reviews and examinationsSupports maintenance of Wealth Management business continuity plansCoordinates annual reviews, testing exercises, and recovery validation activitiesTracks action items resulting from testing exercisesMaintains documentation and evidence supporting program complianceSupports crisis management and incident response activities as neededTracks compliance, audit, and regulatory findingsMaintains issue logs and remediation plansCoordinates collection of supporting documentation and evidenceMonitors action plan progress and escalates overdue itemsSupports responses to internal audits, compliance reviews, and regulatory examinationsIdentifies opportunities to streamline oversight, supervisory, and control processes across Wealth ManagementLeads process improvement initiatives focused on reducing operational risk, enhancing efficiency, and improving the employee and client experienceApplies Lean, Six Sigma, and continuous improvement methodologies to eliminate process inefficiencies, manual touchpoints, and control gapsConducts process mapping, root cause analysis, and workflow reviews to improve effectiveness and scalabilityDevelops and monitors key performance indicators (KPIs) and process metrics to measure operational performance and identify trendsPartners with Technology, Operations, Compliance, and business stakeholders to implement process automation and digital solutionsSupports implementation of enhanced workflows, monitoring routines, reporting tools, and governance processesDrives continuous improvement efforts resulting from audits, regulatory examinations, quality assurance reviews, and business feedbackAssists with implementation and maintenance of procedures and control documentationConducts periodic control reviews and self-assessmentsSupports testing and validation of key controlsIdentifies opportunities for process improvements and operational efficienciesProduces recurring management reports, dashboards, and metricsMonitors trends, exceptions, and key risk indicatorsCoordinates meetings, governance materials, and follow-up actionsSupports communications and training efforts related to oversight programs Education & Experience:
Bachelor's degree required; advanced degree preferred5+ years of experience within wealth management, broker-dealer operations, investment advisory services, risk management, compliance, regulatory oversight, or operational governanceMust have FINRA Series 24Strong knowledge of SEC, FINRA, Federal Reserve, and banking regulatory requirementsExperience interacting with regulators, auditors, compliance functions, and senior executivesDemonstrated experience implementing governance frameworks and regulatory control programsStrong knowledge of conflicts of interest frameworks and governance, Regulation W requirements, affiliate transactions oversight, marketing and advertising supervision requirements, Business Continuity and Operational Resilience programs, Wealth Management products, services and distribution channelsStrategic thinking and problem solvingStrong regulatory and risk management acumenExcellent communications and executive presentation skillsAbility to influence across multiple stakeholder groupsStrong project management and execution capabilitiesProven ability to manage multiple priorities in a complex regulatory environment OCC Language:
This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position. Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
Domestic Travel - OccasionalInternational Travel - NeverPerforming sedentary work - ContinuousPerforming multiple tasks - ContinuousOperating standard office equipment - ContinuousResponding quickly to sounds - OccasionalSitting - ContinuousStanding - OccasionalWalking - OccasionalMoving safely in confined spaces - OccasionalLifting/Carrying (under 25 lbs.) - OccasionalLifting/Carrying (over 25 lbs.) - NeverSquatting - OccasionalBending - OccasionalKneeling - NeverCrawling - NeverClimbing - NeverReaching overhead - NeverReaching forward - OccasionalPushing - NeverPulling - NeverTwisting - NeverConcentrating for long periods of time - ContinuousApplying common sense to deal with problems involving standardized situations - ContinuousReading, writing and comprehending instructions - ContinuousAdding, subtracting, multiplying and dividing - Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.