Central Supervision Analyst - Greenville, SC

TD Bank, N.A.; Greenville (SC); On-site; USD 72,000 - 118,000; Full time

Job summary

TD Bank, N.A. in Greenville, SC is seeking a Central Supervision Analyst to provide FINRA and SEC regulatory oversight within TD Private Client Wealth. You will perform trade surveillance and monitor electronic communications, escalating findings to field supervision.

The role requires 5+ years brokerage experience and relevant licenses such as FINRA Series 7/24 (or 9/10). Proficiency with surveillance platforms like FIS SCCM, Smarsh, and Global Relay is preferred.

Qualifications

• College degree or equivalent experience required.
• 5+ years of Brokerage industry experience.
• FINRA Series 7 required; FINRA Series 24 required (or 9/10) (Required or ability to obtain).
• State Life & Health Insurance License (Preferred)
• FINRA Series 65 or 66 (Preferred)
• FINRA Series 63 (Preferred)
• Experience with surveillance platforms and MS Office.

Responsibilities

• Performs day-to-day monitoring of trades and electronic communications adhering to SLAs.
• Reviews and dispositions flagged trades, trends and patterns; escalates to field supervision.
• Reviews electronic communications (email, texting, social media) and escalates as needed.
• Performs employee trade monitoring and other supervisory functions.
• Prepares trend reports for oversight teams and assists with procedures development.
• Responds to internal/external inquiries with evidence of activities.

Skills

Brokerage experience

FINRA licensing knowledge

Regulatory surveillance

Compliance monitoring

Education

Bachelor degree or equivalent

FINRA licensing (preferred)

Tools

Global Relay

FIS Supervision Compliance Manager

Smarsh

Sprinklr

Job description

Work Location

Greenville, South Carolina, United States of America

Hours

40

Pay Details

$72,280 - $117,520 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 Analyst 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 Analyst performs essential trade surveillance and electronic communications monitoring functions. This role performs these monitoring functions, including the escalation of identified trades, trends/patterns, and flagged electronic communications. This role works closely with the supervision, operations, compliance, and risk departments of the US Wealth organization.

Depth & Scope

• 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 (FIS CM) 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
• 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
• Proactively identifies areas for process improvement and/or enhanced risk identification

Education & Experience

College degree or equivalent experience required. 5+ 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, etc.) 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

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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 [e-mail]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

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Our Values

At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Our Commitment to Diversity, Equity, and Inclusion

At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Helping to Make an Impact in Communities – TD Ready Commitment

TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific