TD · 4 hours ago
Market Supervision Manager
Melville, New York
Full-time
Onsite
Mid, Senior Level
$91K/yr - $146K/yr
5+ years expTD Bank is one of the world's leading global financial institutions, and they are seeking a Market Supervision Manager to oversee the supervisory and compliance aspects of the Wealth Market. This role involves strategic partnership with Wealth Market Leaders to ensure operational excellence and compliance with regulatory frameworks.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected, on a delegated basis, to manage the day-today supervisory, compliance and operational aspects of the business in order to achieve our strategic objectives for the Market(s)
FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in supported Market(s)
Strategically partners with WML(s) to lead and develop supported Market(s)
Leads and implements business and firmwide control, supervisory and operational excellence initiatives with supported WML(s)
Ensures timely and effective response to Compliance, Central Supervision and Audit, Compliance or other Reviews
Ensures timely completions of required learnings, compliance training, new product or service trainings, etc
Ensures timely and effective completion of annual and new account reviews, high risk account reviews, etc
Addresses and resolves escalated Supervisory inquiries
Participates in New Hire interview process with a focus on Compliance, Control, Supervisory and Operational concerns
Manages all trade corrections in cooperation with Operations, Compliance and WMLs
Reviews and approves Outside Business Activities in coordination with the WML(s)
Assists in the resolution of customer complaints
Qualification
Required
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 base 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 time
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 from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization
Preferred
Bachelor's Degree preferred
5+ industry experience
Benefits
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
Company
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
2026-01-24
2026-01-24
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