Central Trade Surveillance & Regulatory Analyst

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

Benefits offered by this job

Total Rewards package

Job summary

TD is seeking a Central Supervision Analyst in Greenville, SC to provide regulatory oversight for TD Private Client Wealth, TD Wealth Management Services Inc., and related entities. The role focuses on trade surveillance and monitoring of electronic communications to identify risks and ensure compliance.

Responsibilities include reviewing flagged trades and communications, generating trend reports, and collaborating with compliance, risk, and operations teams.

Qualifications

• 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) or ability to obtain.
• State Life & Health Insurance License (Preferred).
• FINRA Series 65 or 66 (Preferred).
• FINRA Series 63 (Preferred).
• Experience with platform systems (Global Relay, FIS SCM, Smarsh, Sprinklr) is a plus.

Responsibilities

• Perform trade surveillance and electronic communications monitoring.
• Review and disposition flagged trades, trends, and patterns; escalate as needed.
• Review electronic communications (email, text, social media) and escalate as needed.
• Prepare trend reports for field supervision.
• Respond to inquiries and provide evidence of activities.
• Assist with development and maintenance of written supervisory procedures.
• Identify areas for process improvement and enhanced risk identification.

Skills

Regulatory compliance

Trade monitoring

Surveillance

Regulatory knowledge

Effective communication

Education

College degree or equivalent experience

Tools

Global Relay

FIS Supervision Compliance Manager

Smarsh

Sprinklr

Job description

TD is seeking a Central Supervision Analyst in Greenville, SC to provide regulatory oversight for TD Private Client Wealth, TD Wealth Management Services Inc., and related entities. The role focuses on trade surveillance and monitoring of electronic communications to identify risks and ensure compliance.

Responsibilities include reviewing flagged trades and communications, generating trend reports, and collaborating with compliance, risk, and operations teams.