Manager, Wealth Business Controls - Mount Laurel, NJ
Core
Manages the execution and administration of regulatory, supervisory, and risk management programs for TD Wealth, focusing on Conflicts of Interest, Regulation W, and business continuity.
Role type
Manager, Wealth Business Controls
Builds
Regulatory compliance programs, risk management frameworks, and operational control processes for TD Wealth.
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory oversight, Conflicts of Interest management, Regulation W compliance, Licensing & Registration administration, Business Continuity Planning, Process improvement (Lean/Six Sigma), Stakeholder liaison, Reporting & governance
Preferred skills
Advanced degree, FINRA Series 24 (required), Experience with SEC/FINRA/Federal Reserve regulations, Process automation
Technologies
None explicitly stated
Responsibilities
Coordinate administration of the Wealth Conflicts of Interest program; Perform monitoring activities and identify potential conflicts; Support licensing and registration activities for registered personnel; Perform monitoring and documentation activities supporting Regulation W compliance; Lead process improvement initiatives focused on reducing operational risk; Produce recurring management reports, dashboards, and metrics; Support responses to internal audits, compliance reviews, and regulatory examinations.