Regulatory Trade Surveillance Analyst

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

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.