Central Supervision Team Lead - Cherry Hill, NJ

Work Location:

Cherry Hill, New Jersey, 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 Central Supervision Team Lead is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This role assists 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 Central Supervision Department performs essential trade surveillance and electronic communications monitoring functions. The Central Supervision Team Lead maintains all essential platforms used to perform these monitoring functions, including launching, and maintaining system configurations and applicable rules engines. This role leads a team of Central Supervisory Analysts performing additional duties to oversee the effectiveness and accuracy of the performed activities, monitor SLAs, and report on various key metrics.

This role works closely with the supervision, operations, compliance, and risk departments of the US Wealth organization.

Depth & Scope:

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork, and handling any/all disciplinary actions, as required

Serves as a team leader, leading the Central Supervision Analysts on a day-to-day basis, including monitoring adherence to established SLAs and maintaining appropriate staffing levels

Calibrates the FIS Supervision Compliance Manager (FIS SCM) automated surveillance system to ensure proper line of sight of activity including identifying trades, patterns, and trends

Maintains and develops platforms and system configurations used to monitor various forms of electronic communications, including onboarding new vendors/technology, as needed

Maintains and develops systems used to monitor employee trade monitoring and other supervisory functions delegated to the centralized supervisory unit

Prepares various trend reporting used by the field supervision team in their oversight of Firm business to help identify trends areas of concern

Responds to inquiries, both internal and external, to produce various evidence of performed activities, as needed

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

Oversees overall end-to-end trade surveillance and other applicable workflows, including identification and execution of process efficiencies and enhancements

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

Performs necessary reviews and activities, as a player/coach, when appropriate

The Central Supervision Unit

Performs various monitoring activities including trade and electronic communication reviews on a day-to-day basis, adhering to established SLAs

Reviews and dispositions flagged trades, trends and patterns identified by the FIS Supervision Compliance Manager automated surveillance system and escalates matters to the field supervision team

Reviews and dispositions identified electronic communications, including email, texting, and social media and escalates matters to the field supervision team

Performs employee trade monitoring and other supervisory functions delegated to the centralized supervisory unit

Education & Experience:

College degree or equivalent experience required

7+ years of Brokerage industry experience

FINRA Series 7 Required

FINRA Series 24 Required (or FINRA Series 9/10) (Required or ability to obtain within scheduled time)

State Life & Health Insurance License (Preferred)

FINRA Series 65 or 66 (Preferred)

FINRA Series 63 (Preferred)

Computer skills: In addition to MS Office software, experience in platform systems preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Smarsh, Sprinklr)

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 (

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 . 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.