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Work Location:

Coral Gables, Florida, United States of America

Hours:

40

Pay Details:

$86,840 - $130,000 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:

The Supervision Controls Specialist is a FINRA and SEC regulatory supervisory principal role assisting in the regulatory oversight for TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI).

The Supervision Controls Specialist supports the overall department with business-led strategic initiatives, including project management, procedural updates, reporting, and platform enhancements for U.S. Wealth. In addition, this role provides leadership in key department initiatives, taking a key role in high-profile projects, including regulatory change management, and preparing for new product launches.

This role works closely with all departments within the US Wealth organization, but specifically with Compliance, Legal, Distribution, Product, Risk, Operations, and Technology.

Depth & Scope:

+ Partners with the Senior Wealth Supervision Manager on business-led strategic initiatives providing project oversight and facilitation

+ Partners with various members of the Supervision team including the Principal Review Unit and Central Supervision Unit team leads to improve overall effectiveness of controls and efficiency of processes. This includes the refinement and configuration of applicable applications and/or rules engines

+ Partners with the Product and Operations departments to improve overall workflow and control effectiveness, including leveraging outside vendors and product providers

+ Partners with various members of the Supervision team to improve dashboards and reporting used for various purposes including business oversight and evidence of supervisory activities

+ Assists in new product launches, regulatory change management, or other key change initiatives, as assigned

+ Prepares various dashboard reporting used throughout U.S. Wealth to assist with oversight of key supervisory functions and identification of trends or patterns

+ Assists with the development and maintenance of the department's written supervisory and desktop procedures

+ Proactively identifies areas for process improvement and/or enhanced risk identification

Education & Experience:

+ College degree or equivalent experience required

+ 5+ years of Brokerage industry experience

+ FINRA Series 7 Required

+ FINRA Series 24 Required (or FINRA Series 9/10)

+ State Life & Health Insurance License (Preferred)

+ FINRA Series 65/63 or 66 (Preferred)

+ Computer skills: In addition to MS Office software, experience in industry platform systems strongly preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Pershing, Envestnet, RegEd, etc.)

+ Ability to communicate effectively with all levels of staff and management

+ Ability to prioritize and multi-task with a high degree of accuracy

+ Ability to solve problems in a fast paced & ever-changing regulatory environment

+ Effective organization, time management, and follow up of work.

+ Ability to obtain additional licensing, as required

OCC Language:

+ This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.

+ Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.

+ 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:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

+ 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

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are:

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

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, and reward and recognition. Learn more (http://hrportal.ehr.com/tdtotalrewards)

Additional Information:

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected] . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.