Base: $91,000 - $145,600 usd; bonus/equity: not sp...
Finra designated supervisor
Supervisory and operational excellence
Response to compliance and audit
The Market Supervision Manager partners closely with Wealth Market Leader(s) to manage day-to-day supervisory, compliance, and operational aspects of the business
Job Summary
The Market Supervision Manager partners closely with Wealth Market Leader(s) to manage day-to-day supervisory, compliance, and operational aspects of the business.
Responsibilities include ensuring timely response to reviews, completion of required trainings, and addressing escalated supervisory inquiries.
TD offers a competitive Total Rewards package including base salary, variable compensation, health and well-being benefits, and career development opportunities.
Matching Summary
The Market Supervision Manager partners closely with Wealth Market Leader(s) to manage day-to-day supervisory, compliance, and operational aspects of the business.
Salary
Base: $91,000 - $145,600 USD; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
FINRA designated Supervisor
supervisory and operational excellence
response to Compliance and Audit
trade corrections management
Outside Business Activities review
Nice-to-have
strategic partnership with leaders
drive change and development
exposure to financial regulators
Key Requirements
FINRA Series 7, 24 and 66 required
3+ years supervisory experience
Bachelor's Degree preferred
5+ industry experience
Work Rights
Must be eligible for employment under FINRA standards