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Provides financial planning guidance and investment management solutions to TD Wealth clients. Responsibilities include client discovery, needs analysis, onboarding, annual reviews, relationship management, investment sales, referrals, portfolio growth, regulatory compliance, and meeting sales goals. The advisor serves as the primary client contact, develops wealth-management relationships, supports retail and small-business partners, and provides coaching and referral training to colleagues.

Provides financial planning guidance and sells investment management solutions to TD Wealth clients. Builds and manages client relationships, conducts financial needs analyses, recommends wealth solutions, completes onboarding and annual reviews, meets sales goals, generates referrals, and ensures regulatory compliance. Partners with retail and small business teams, coaches colleagues, and develops client wallet share through consultative service and proactive relationship management.

The Financial Advisor will provide financial planning guidance, manage client relationships, and sell investment management solutions while meeting sales goals and ensuring compliance with regulations.

Provide financial planning guidance and sell investment management solutions; onboard and service clients, conduct annual reviews, deepen client relationships, meet quarterly and annual sales goals, ensure regulatory compliance (FINRA/AML), refer to wealth and retail partners, and support team development and community initiatives.

Provide financial planning guidance and sell investment management solutions to TD Wealth clients. Manage client onboarding, deliver annual reviews, meet sales goals, deepen client relationships, refer to partners, ensure regulatory compliance, and support team coaching and community engagement.

Supports regulatory and supervisory oversight of global markets sales, trading, and origination activities. Conducts market conduct, communications, best execution, and regulatory reporting reviews; validates exceptions; prepares supervision reports; documents findings; escalates concerns; and coordinates with Compliance, Legal, Operations, auditors, and regulators. The role also maintains supervisory procedures and control documentation, supports regulatory initiatives and technology implementations, and presents review results to senior management.

Provide financial planning guidance and sell investment management solutions to TD Wealth clients. Serve as primary client contact, onboard new clients, deliver annual reviews, meet sales goals, refer to internal partners, ensure regulatory compliance, and coach retail partners. Travel within assigned market and contribute to team development and community initiatives.

Senior market risk leader providing independent oversight of the xVA desk: developing market-risk policy, designing stress tests/scenarios, analyzing new products, monitoring regulatory developments (CVA, FRTB), communicating risk to stakeholders, mentoring the Market Risk team, and collaborating with front-office trading to assess positions, P&L attribution, and controls.

Leads complex internal audits across multiple functional areas, including audit planning, risk and control assessments, testing, findings follow-up, reporting, and regulatory review support. Advises management and senior stakeholders, identifies emerging risks and control weaknesses, recommends improvements, oversees audit communications, and provides thought leadership. The role also supervises audit activities, coaches team members, supports policy and process implementation, and manages confidential information.

Leads a large financial crimes audit team, overseeing audit planning, execution, quality reviews, risk coverage, reporting, remediation, and stakeholder engagement. Provides strategic advice to executives, manages audit professionals, develops staff, handles performance and resource management, and ensures adherence to regulatory and enterprise requirements. The role also supports continuous monitoring, data analysis, memo writing, process improvement, and cross-functional initiatives.