Senior Regulatory Review Analyst - FINRA/SEC Expert

TD

Charlotte (NC)

On-site

USD 72,000 - 118,000

Full time

11 hours ago

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Job summary

TD Wealth in Charlotte, NC seeks a Principal Review Analyst, a FINRA/SEC supervisory role focusing on trade reviews for TD Private Client Wealth and related services. You will approve new account documentation, review brokerage, advisory, and insurance transactions for suitability under regulatory standards.

The role works with Market Supervisory Managers, operations, compliance, and risk teams to maintain controls and generate dashboards, with required licenses including FINRA Series 7 and 24,

Qualifications

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

Responsibilities

Review and approve new account documentation for FINRA/SEC compliance.
Perform primary trade reviews for appropriateness including brokerage and annuity transactions.
Coordinate account reviews and regulatory inquiries with Market Supervisory Managers.
Provide dashboard reporting and assist in improving workflows and controls.

Skills

Regulatory oversight

Trade review

Attention to detail

Communication

Education

College degree or equivalent experience

Tools

MS Office

Trade platform systems

Job description

The role works with Market Supervisory Managers, operations, compliance, and risk teams to maintain controls and generate dashboards, with required licenses including FINRA Series 7 and 24,

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