Supervision Management Specialist

Supervision Controls Specialist

The Supervision Controls Specialist is a FINRA and SEC regulatory supervisory principal role assisting in the regulatory oversight for TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI).

The Supervision Controls Specialist supports the overall department with business-led strategic initiatives, including project management, procedural updates, reporting, and platform enhancements for U.S. Wealth. In addition, this role provides leadership in key department initiatives, taking a key role in high-profile projects, including regulatory change management, and preparing for new product launches.

This role works closely with all departments within the US Wealth organization, but specifically with Compliance, Legal, Distribution, Product, Risk, Operations, and Technology.

Depth & Scope:

• Partners with the Senior Wealth Supervision Manager on business-led strategic initiatives providing project oversight and facilitation
• Partners with various members of the Supervision team including the Principal Review Unit and Central Supervision Unit team leads to improve overall effectiveness of controls and efficiency of processes. This includes the refinement and configuration of applicable applications and/or rules engines
• Partners with the Product and Operations departments to improve overall workflow and control effectiveness, including leveraging outside vendors and product providers
• Partners with various members of the Supervision team to improve dashboards and reporting used for various purposes including business oversight and evidence of supervisory activities
• Assists in new product launches, regulatory change management, or other key change initiatives, as assigned
• Prepares various dashboard reporting used throughout U.S. Wealth to assist with oversight of key supervisory functions and identification of trends or patterns
• Assists with the development and maintenance of the department's written supervisory and desktop procedures
• Proactively identifies areas for process improvement and/or enhanced risk identification

Education & Experience:

• College degree or equivalent experience required
• 5+ years of Brokerage industry experience
• FINRA Series 7 Required
• FINRA Series 24 Required (or FINRA Series 9/10)
• State Life & Health Insurance License (Preferred)
• FINRA Series 65/63 or 66 (Preferred)
• Computer skills: In addition to MS Office software, experience in industry platform systems strongly preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Pershing, Envestnet, RegEd, etc.)
• Ability to communicate effectively with all levels of staff and management
• Ability to prioritize and multi-task with a high degree of accuracy
• Ability to solve problems in a fast paced & ever-changing regulatory environment
• Effective organization, time management, and follow up of work.
• Ability to obtain additional licensing, as required

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.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing and so will you.

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 USWAPTDO@td.com . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.