Market Supervision Manager

TD

Melville, New York, United States
Base: $91,000 - $145,600 usd; bonus/equity: not sp...
Finra designated supervisor responsibilities
Compliance and operational excellence initiatives
Trade corrections management
The Market Supervision Manager partners closely with the Wealth Market Leader(s) to manage supervisory, compliance, and operational aspects to meet strategic goals

Job Summary

  • The Market Supervision Manager partners closely with the Wealth Market Leader(s) to manage supervisory, compliance, and operational aspects to meet strategic goals.
  • TD offers a comprehensive Total Rewards package including base salary, variable compensation, health benefits, retirement programs, and paid time off.
  • TD is committed to colleague development through regular career conversations, training programs, and a supportive, inclusive work environment.

Matching Summary

The Market Supervision Manager partners closely with the Wealth Market Leader(s) to manage supervisory, compliance, and operational aspects to meet strategic goals.

Salary

Base: $91,000 - $145,600 USD; Bonus/Equity: Not specified; Benefits: Health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts

Skills & Requirements

Must-have

  • FINRA designated Supervisor responsibilities
  • Compliance and operational excellence initiatives
  • Trade corrections management
  • Customer complaint resolution
  • Regulatory framework knowledge
  • Travel up to 50% of time

Nice-to-have

  • Leadership and influencing skills
  • Career development and mentoring programs
  • Client-facing role
  • Diverse and respectful workplace culture

Key Requirements

  • Bachelor's Degree preferred
  • 5+ years industry experience
  • FINRA Series 7, 24 and 66 required
  • 3+ years supervisory experience
  • Eligibility under FINRA standards

Work Rights

Must be eligible for employment under FINRA standards

Tailored Resume

Cover Letter