Manager, Wealth Business Controls - Mount Laurel, NJ

Work Location: Mount Laurel, New Jersey, United States of America

About the role

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.

Responsibilities

• Coordinates administration of the Wealth Conflicts of Interest program
• Maintains conflict inventories, logs, attestations, and supporting documentation
• Performs monitoring activities and identifies potential conflicts requiring escalation
• Tracks mitigation activities and facilitates follow-up with business stakeholders
• Prepares reporting packages for governance committees and management review
• Supports licensing and registration activities for registered personnel
• Monitors renewal requirements, continuing education obligations, and registration statuses
• Coordinates regulatory filings, amendments, and updates
• Tracks exceptions and partners with Human Resources and Compliance to resolve deficiencies
• Maintains accurate records and documentation supporting regulatory requirements
• Coordinates workflow associated with review and approval of marketing materials and sales communications
• Ensures submissions are routed through appropriate approval channels
• Monitors turnaround times and approval status
• Maintains records and evidence supporting supervisory review requirements
• Assists with implementation of enhancements to marketing supervision processes
• Performs monitoring and documentation activities supporting Regulation W compliance
• Maintains inventories of affiliate arrangements and transactions
• Coordinates reviews and approvals with affected stakeholders
• Identifies exceptions, escalates concerns, and supports remediation activities
• Prepares reporting and documentation for periodic reviews and examinations
• Supports maintenance of Wealth Management business continuity plans
• Coordinates annual reviews, testing exercises, and recovery validation activities
• Tracks action items resulting from testing exercises
• Maintains documentation and evidence supporting program compliance
• Supports crisis management and incident response activities as needed
• Tracks compliance, audit, and regulatory findings
• Maintains issue logs and remediation plans
• Coordinates collection of supporting documentation and evidence
• Monitors action plan progress and escalates overdue items
• Supports responses to internal audits, compliance reviews, and regulatory examinations
• Identifies opportunities to streamline oversight, supervisory, and control processes across Wealth Management
• Leads process improvement initiatives focused on reducing operational risk, enhancing efficiency, and improving the employee and client experience
• Applies Lean, Six Sigma, and continuous improvement methodologies to eliminate process inefficiencies, manual touchpoints, and control gaps
• Conducts process mapping, root cause analysis, and workflow reviews to improve effectiveness and scalability
• Develops and monitors key performance indicators (KPIs) and process metrics to measure operational performance and identify trends
• Partners with Technology, Operations, Compliance, and business stakeholders to implement process automation and digital solutions
• Supports implementation of enhanced workflows, monitoring routines, reporting tools, and governance processes
• Drives continuous improvement efforts resulting from audits, regulatory examinations, quality assurance reviews, and business feedback
• Assists with implementation and maintenance of procedures and control documentation
• Conducts periodic control reviews and self-assessments
• Supports testing and validation of key controls
• Identifies opportunities for process improvements and operational efficiencies
• Produces recurring management reports, dashboards, and metrics
• Monitors trends, exceptions, and key risk indicators
• Coordinates meetings, governance materials, and follow-up actions
• Supports communications and training efforts related to oversight programs

Requirements

• Bachelor's degree required; advanced degree preferred
• 5+ years of experience within wealth management, broker-dealer operations, investment advisory services, risk management, compliance, regulatory oversight, or operational governance
• Must have FINRA Series 24
• Strong knowledge of SEC, FINRA, Federal Reserve, and banking regulatory requirements
• Experience interacting with regulators, auditors, compliance functions, and senior executives
• Demonstrated experience implementing governance frameworks and regulatory control programs
• Strong 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 channels
• Strategic thinking and problem solving
• Strong regulatory and risk management acumen
• Excellent communications and executive presentation skills
• Ability to influence across multiple stakeholder groups
• Strong project management and execution capabilities
• Proven ability to manage multiple priorities in a complex regulatory environment

This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e). 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

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

About TD

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.

Benefits

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
• Reward and recognition

Pay

$91,000 - $145,600 USD

Schedule

40 hours per week

Colleague Development

• Regular career, development, and performance conversations with your manager
• Access to an online learning platform and a variety of mentoring programs
• Training and onboarding sessions to ensure success in your new role

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.