Senior Regulatory Review Analyst (FINRA/SEC)

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

Job summary

TD Bank, N.A. in Charlotte, NC seeks a Principal Review Analyst to supervise regulatory trade reviews for its TD Private Client Wealth platform, ensuring adherence to FINRA and SEC standards and overseeing account appropriateness.

The role partners with Compliance, Risk and Operations to maintain controls, produce reports, and support regulatory exams while enabling continuous improvement in supervisory processes.

Qualifications

• College degree or equivalent experience required.
• FINRA Series 7 required.
• FINRA Series 24 required (or 9/10) or within scheduled time.
• State Life & Health Insurance License required or to be obtained within scheduled time.
• FINRA Series 65 or 66 preferred; Series 63 preferred.
• Computer skills include MS Office; experience with trade platforms preferred.

Responsibilities

• Perform primary trade reviews for appropriateness of brokered transactions.
• Review new account documentation for FINRA/SEC rule adherence.
• Coordinate with Market Supervisory Managers and Field Supervision on account reviews.
• Provide dashboard reporting and centralized control analyses to support regulatory inquiries.
• Assist in maintaining written supervisory procedures and regulatory compliance.

Skills

FINRA Rules

SEC Rules

Trading / Brokerage

AML/KYC

Regulatory Reporting

Education

Bachelor's degree or equivalent

FINRA Series 7

FINRA Series 24

FINRA Series 65/66

FINRA Series 63

State Life & Health Insurance License

Tools

MS Office

Trade platforms

Job description

TD Bank, N.A. in Charlotte, NC seeks a Principal Review Analyst to supervise regulatory trade reviews for its TD Private Client Wealth platform, ensuring adherence to FINRA and SEC standards and overseeing account appropriateness.

The role partners with Compliance, Risk and Operations to maintain controls, produce reports, and support regulatory exams while enabling continuous improvement in supervisory processes.