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TD

Market Supervision Manager

TD

. Partner closely with Wealth Market Leader(s) to manage delegated day-to-day supervisory, compliance, and operational aspects of supported markets .

Posted 11/9/2026full-timeUnited StatesMid-LevelSenior💰 $91,000 - $145,600 per yearWebsite

Core Competencies

Role fit
Core Competencies

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Demonstrates extensive supervisory experience in Financial Services, with a strong focus on compliance, operational excellence, and regulatory frameworks. Proven ability to lead teams, manage compliance training, and address escalated supervisory inquiries effectively.

Highest-signal resume keywords
FINRA Series 7FINRA Series 24FINRA Series 66Supervisory ExperienceFinancial Services Regulatory Knowledge

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills
Compliance TrainingOperational ExcellenceTrade Corrections ManagementHigh-Risk Account ReviewsCustomer Complaint Resolution
Soft Skills
Leadership SkillsCommunication SkillsInfluencing Skills
Certifications & Qualifications
Bachelor's DegreeFINRA Certification
Industry Keywords
Wealth ManagementBrokerageAnnuityAdvisoryBankingLendingOCCFINRARegulatory ComplianceOperational Control

About the role

Key responsibilities & impact
  • Partner closely with Wealth Market Leader(s) to manage delegated day-to-day supervisory, compliance, and operational aspects of supported markets
  • Serve as FINRA-designated Supervisor for Registered/Associated Persons in supported markets
  • Strategically partner with Wealth Market Leader(s) to lead and develop supported markets
  • Lead and implement business and firmwide control, supervisory, and operational excellence initiatives
  • Ensure timely and effective responses to Compliance, Central Supervision, Audit, and other reviews
  • Ensure completion of required learning, compliance training, and new product or service training
  • Ensure completion of annual, new account, and high-risk account reviews
  • Address and resolve escalated supervisory inquiries
  • Participate in new-hire interviews with focus on compliance, control, supervisory, and operational concerns
  • Manage trade corrections with Operations, Compliance, and Wealth Market Leaders
  • Review and approve Outside Business Activities in coordination with Wealth Market Leader(s)
  • Assist in resolving customer complaints

Requirements

What you’ll need
  • Bachelor's Degree preferred
  • 5+ industry experience
  • FINRA Series 7, 24 and 66 (or equivalent) required
  • 3+ years of relevant supervisory experience in brokerage, annuity, advisory, banking and lending activity
  • Broad knowledge and experience in Financial Services with sound understanding of regulatory frameworks that apply to TD Wealth
  • Strong control and operational experience and knowledge
  • Leadership, communication and influencing skills to drive change
  • Ability to travel 50% of the time
  • Exposure to or previous work with major financial service regulators including OCC and FINRA
  • Must be eligible for employment under standards established by FINRA
  • Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search
  • Statements/certification regarding administrative, civil, and/or criminal findings by government agencies/authorities or self-regulatory organizations
  • Ability to perform sedentary work, multiple tasks, operate standard office equipment, concentrate for long periods, read/write/comprehend instructions, and perform basic arithmetic
  • Ability to sit continuously and stand/walk occasionally
  • Ability to lift/carry under 25 lbs. occasionally

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