Td Bank Head Wealth Supervision US 

United States, Massachusetts, Boston 

863928076

Boston, Massachusetts, United States of America

$270,000 - $350,000 USDTD Wealth

Individual Role Accountabilities

• Leads and Executes TD Wealth's Supervisory responsibilities pursuant to FINRA, SEC, OCC, State Regulators, and other regulatory bodies as well as TD Policy, ensuring compliance with all such rules, regulations, and policies
• Leads the Principal Review Unit in their review of accounts and transactions, escalating issues and concerns, as appropriate, to Advisors and Principals
• Leads the Market Supervision Managers as they work with Principals to ensure full compliance with all rules and policies and as they inspect setting and circumstance in the Stores and address inquiries from the Central Supervision and Principal Review Units.
• Leads Central Supervision Unit in their review of on- and off-channel communications and ownership of flagging and tool configurations as well as advisor-, client-, and trade-level surveillance.
• Owns, manages, and maintains inventory of Conflicts of Interest
• Develops and maintains first line oversight and controls of material conflicts of interests and escalates concerns, as appropriate, to Advisors and Principals.
• Delivers strong advice and execution to TD Wealth on reducing risk and enhancing client and colleague experience by enhancing supervisory policies, procedures, and adoption
• Sets the standard of care and ethical duty across all activities and for all clients of TD Wealth in terms of ethical obligations, fiduciary duty, and overall duty of care
• Leads automation efforts and tools development to enhance the productivity of the Supervisory teams, leveraging various operational platforms and applications platforms and applications.
• Delivers strong change management in collaboration with Compliance and Legal for legal and regulatory changes that require changes to business practices or processes
• Responsible for refining and expanding current brokerage trading controls and functionality ensuring adherence to regulatory standards and requirements.

Shared Responsibilities

• Partner with U.S. Wealth National Sales and U.S. Wealth Distribution to drive adoption of standards of care, ethical duty, fiduciary duty, and overall duty of care with Advisors
• Partner and collaborate with U.S. Wealth control partners including 1B Wealth Governance & Control, Wealth Compliance and Wealth Legal to assess risks and regulatory changes, and modify processes proactively
• Partner with Wealth Technology and Change Management to enhance and own Supervision platform configurations, usability, and efficiency

Key Metrics

• Control – flagging, review, endorsement, call out, and rejection of transactions
• Control – advisor-level, client-level, and trade-level surveillance
• Control – review of on- and off- channel communications
• Self ID Findings and Timely and Successful Remediation of Findings
• Colleague Satisfaction (Pulse)
• Regulatory findings, MRAs, and fines

Impact to External Customer

• Sets standards of care, ethical duty and obligations, fiduciary duty, and overall duty of care for TD Wealth
• Protects clients and Advisors, ensuring clients always received appropriate treatment in all situations
• Participates in development of Advisor training and ongoing reinforcement with respect to standards of care, ethical duty, fiduciary duty

Skills, Education & Experience

• 10+ years of wealth Supervisory Leadership experience
• 5+ years of Operational and Administrative leadership experience
• Bachelor's degree preferred
• S7, S65, S24, S53, S4 Life & Health required with detailed understanding of Supervisory requirements under pertinent regimes
• Prior engagement with regulators (e.g., FINRA, SEC, OCC)
• Proven people leadership and team development skills – done in collaboration with Sales, Operations, Compliance and Legal
• Strong understanding of the financial markets, investment and planning processes, banking, investment, and insurance product knowledge
• Strong interpersonal, written, and verbal communications skills
• Strong presentation, training/coaching and closing skills
• Strong organizational and project management skill; proven ability to manage multiple priorities
• Ability to travel throughout footprint regularly

Our Total Rewards Package

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.

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