TD Bank
Manager, Wealth Business Controls - Mount Laurel, NJ
$91K–$146K
Mount Laurel, New Jersey +3 · On-site · Manager · Full-time · Posted Oct 21, 2026
- Location
- Mount Laurel, New Jersey
New York, New York
Greenville, South Carolina
Boston, Massachusetts - Experience
- 5+ years in one or more of the listed fields.
- Education
- Bachelor's degree required; advanced degree preferred.
About the job
Supports and administers TD Wealth regulatory, supervisory, and risk-control programs, while improving oversight processes and coordinating with internal stakeholders.
What you'll do
- Administer and monitor programs covering conflicts of interest, Regulation W, licensing and registration, marketing review, affiliate transactions, and business continuity.
- Track controls, findings, exceptions, and remediation; prepare governance reports and support audits and regulatory examinations.
- Lead process improvements using continuous-improvement methods and partner on automation, metrics, and enhanced workflows.
What they ask for
- Bachelor's degree.
- 5+ years of experience in wealth management, broker-dealer operations, investment advisory services, risk management, compliance, regulatory oversight, or operational governance.
- FINRA Series 24.
- Strong knowledge of SEC, FINRA, Federal Reserve, and banking regulatory requirements.
Nice to have
- Advanced degree.
Pay
$91,000 - $145,600 USD base salary
Model-written summary · the original posting is authoritative