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The Compliance Quality Assurance Manager oversees compliance testing, ensuring adherence to policies and improving operational performance. This role involves strategic guidance, conducting independent reviews, and leading projects while fostering a culture of compliance.

Leads a large, complex internal audit team and develops audit strategies, plans engagements, reviews audit documentation, signs off on activities, and advises senior leadership on risks and emerging issues. Manages staffing, performance, succession, resources, remediation plans, regulatory alignment, and cross-functional initiatives while promoting operational efficiency and strong risk management.

Provide goal-based financial planning and sell investment management solutions to TD Wealth clients. Own client relationships, onboard new clients, conduct annual reviews, meet sales goals, refer to internal partners, comply with regulatory and AML/CIP requirements, mentor peers, and participate in community and firm initiatives.

Provides financial planning guidance and investment recommendations to TD Wealth clients. Manages client relationships, onboarding, annual reviews, wealth solutions, referrals, and service delivery while achieving sales and growth goals. Ensures compliance with FINRA, securities laws, AML procedures, and company policies. Builds partnerships with retail and small-business banking teams, coaches colleagues, and travels continuously within the assigned domestic market.

Leads development of scalable technology frameworks and critical services supporting compliance, trade surveillance, and supervision systems. Designs Java microservices, batch and streaming solutions, integrations, data platforms, and CI/CD pipelines. Provides architectural oversight, establishes development standards, manages projects and teams, and serves as a technical subject matter expert. Requires financial services experience, especially trading lifecycles, market surveillance, and capital markets technology.

The Financial Advisor Associate attracts and retains clients by offering personalized wealth management advice based on clients' financial information, goals, and needs while managing and developing client relationships.

The Financial Advisor provides financial planning advice, sells investment management solutions, and maintains client relationships to achieve their financial goals. Responsibilities include onboarding clients, conducting annual reviews, and meeting sales targets while ensuring compliance with regulations.

Provides administrative support to managing directors and broader teams by managing calendars, meetings, travel, events, expenses, communications, reports, meeting minutes, correspondence, office processes, and confidential information. Acts as a liaison among executives, employees, clients, and external partners while ensuring accurate documentation, timely service, regulatory compliance, and effective workload management.

The Financial Advisor provides financial planning and investment management solutions, guiding clients to achieve their financial goals while ensuring excellent service and compliance with regulatory standards.

Provide financial planning guidance and sell investment management solutions to TD Wealth clients. Manage full client lifecycle including onboarding, annual reviews, goal-based advice, and referrals to partners. Meet sales targets, ensure regulatory compliance, maintain required licenses, and collaborate with retail and small business teams to grow client relationships.