Manager, Wealth Business Controls - Mount Laurel, NJ

About this role

Work Location: Mount Laurel, New Jersey, United States of America Hours: 40 Pay Details: $91,000 - $145,600 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business: TD Wealth Job Description: 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.

Depth & Scope: • 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

Education & Experience: • 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 a

Similar jobs

• Sr Manager, Financial Operations - Wealth — Integritymarketing · Dallas, TX
• Sr. Manager, Business Unit Risk & Compliance Liaison - Wealth Management — Ameriprise · Minneapolis, Minnesota | Charlotte, North Carolina
• Senior Wealth Investment Advisor, New Jersey — M&T Bank · Paramus, NJ
• Senior Project Manager - Wealth Management — Commerce Bank · MO - Kansas City Downtown/Plaza - Kansas City - KC Downtown Trust Building (922 Walnut) (64106)
• Sr Director, Business Unit Risk & Compliance Liaison - Wealth Management — Ameriprise · Minneapolis, Minnesota | Charlotte, North Carolina
• Senior Associate, Marketing Operations, Wealth Management Solutions — Aresmgmt · Denver, CO | New York, NY - PARK
• Senior Contact Center Leader - Wealth Servicing — U.S. Bank · Saint Paul, MN | Fargo, ND | Charlotte, NC
• Manager, Controls Assurance North America — Invesco · Atlanta, Georgia