Market Supervision Manager

TD

New York, New York, United States of America
Base: $91,000 - $145,600 usd; bonus/equity: not sp...
Finra designated supervisor
Supervisory, compliance and operational aspects
Business and firmwide control initiatives
The Market Supervision Manager partners closely with the 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 the Wealth Market Leader(s) to manage day-to-day supervisory, compliance, and operational aspects of the business.
  • This role involves strategic partnership to lead and develop supported markets, implementing control and operational excellence initiatives.
  • TD is committed to providing fair and equitable compensation, growth opportunities, and skill development, fostering a respectful workplace where diverse perspectives are valued.

Matching Summary

The Market Supervision Manager partners closely with the 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, compliance and operational aspects
  • Business and firmwide control initiatives
  • Timely response to Audit Reviews
  • Trade corrections management
  • Outside Business Activities approval

Nice-to-have

  • Strategic partnership with leaders
  • Drive change through influence
  • Focus on compliance and control
  • Remarkably human and refreshingly simple

Key Requirements

  • 5+ years industry experience
  • FINRA Series 7, 24 and 66 required
  • 3+ years relevant supervisory experience
  • Bachelor's Degree preferred
  • FINRA eligibility and background checks

Work Rights

Not specified

Tailored Resume

Cover Letter