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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance, risk management, and governance frameworks within wealth management. Proficient in process improvement methodologies and capable of managing multiple priorities in complex regulatory environments.
Highest-signal resume keywords
FINRA Series 24Regulatory ComplianceRisk ManagementGovernance FrameworksProcess Improvement
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulation W KnowledgeConflicts of Interest FrameworksBusiness Continuity PlanningOperational ResilienceKPI DevelopmentProcess MappingRoot Cause AnalysisWorkflow ReviewsMonitoring ActivitiesRegulatory Filings
Soft Skills
Strategic ThinkingProblem SolvingExcellent CommunicationInfluencing SkillsProject Management
Tools & Technologies
Governance ToolsReporting ToolsProcess Automation SolutionsDigital Solutions
Certifications & Qualifications
Bachelor's DegreeAdvanced Degree PreferredFINRA Eligibility
Industry Keywords
Wealth ManagementBroker-Dealer OperationsInvestment Advisory ServicesRegulatory OversightOperational GovernanceSEC RegulationsFINRA RegulationsFederal Reserve RequirementsAudit ComplianceCrisis Management
About the role
Key responsibilities & impact- Support execution and administration of regulatory, supervisory, and risk management programs across TD Wealth
- Coordinate administration of the Wealth Conflicts of Interest program
- Maintain conflict inventories, logs, attestations, and supporting documentation
- Perform monitoring activities, identify potential conflicts, and track mitigation activities
- Prepare reporting packages for governance committees and management review
- Support licensing and registration activities for registered personnel
- Monitor renewal requirements, continuing education obligations, and registration statuses
- Coordinate regulatory filings, amendments, and updates
- Coordinate review and approval workflows for marketing materials and sales communications
- Perform monitoring and documentation activities supporting Regulation W compliance
- Maintain inventories of affiliate arrangements and transactions
- Support maintenance of Wealth Management business continuity plans
- Coordinate annual reviews, testing exercises, and recovery validation activities
- Support crisis management and incident response activities as needed
- Track compliance, audit, and regulatory findings, issue logs, and remediation plans
- Support responses to internal audits, compliance reviews, and regulatory examinations
- Lead process improvement initiatives focused on reducing operational risk and improving efficiency
- Apply Lean, Six Sigma, and continuous improvement methodologies
- Conduct process mapping, root cause analysis, and workflow reviews
- Develop and monitor KPIs and process metrics
- Partner with Technology, Operations, Compliance, and business stakeholders to implement process automation and digital solutions
- Support enhanced workflows, monitoring routines, reporting tools, and governance processes
- Assist with implementation and maintenance of procedures and control documentation
- Conduct periodic control reviews and self-assessments
- Support testing and validation of key controls
- Produce recurring management reports, dashboards, and metrics
- Monitor trends, exceptions, and key risk indicators
- Coordinate meetings, governance materials, and follow-up actions
- Support communications and training efforts related to oversight programs
Requirements
What you’ll need- 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
- Knowledge of Regulation W requirements and affiliate transactions oversight
- Knowledge of marketing and advertising supervision requirements
- Knowledge of Business Continuity and Operational Resilience programs
- Knowledge of 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
- Must be eligible for employment under standards established by FINRA
- Satisfactory criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search
- Domestic travel – occasional
- International travel – never
Benefits
Comp & perks- Base salary and variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards
- 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
- Regular career, development, and performance conversations
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Competitive benefits plan
- Accommodation support for applicants with disabilities