Senior Regulatory Review Analyst – Trade & Compliance

TD; Hartford (CT); On-site; USD 72,000 - 118,000; Full time

Job summary

TD Wealth in Charlotte, North Carolina is seeking a Principal Review Analyst to oversee regulatory supervision of the firm’s trading activities. The role focuses on trade review of solicited business and approval of new accounts for the Investment Advisory Platform in line with FINRA/SEC standards.

This position requires Series 7 and Series 24 (or 9/10) licenses, plus Life & Health Insurance licensing, with potential for additional licensing.

Qualifications

• 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 (Required or ability to obtain within scheduled time)
• FINRA Series 65 or 66 (Preferred)
• FINRA Series 63 (Preferred)
• Computer skills: MS Office software, experience in trade platform systems preferred.
• Ability to communicate effectively with all levels of staff and management.
• Ability to prioritize and multi-task with a high degree of accuracy.

Responsibilities

• Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability rules and ensures compliance with AML/CIP/KYC programs regarding new account opening
• Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases and reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform in conjunction with the client’s goals and objectives
• Coordinates initial and annual account review for both TDPCW and Reg-9 reviews for TDBNA to aid the Market Supervisory Managers and Field Supervision teams and oversees centralized control report activity used to issue inquiries to field supervisors and/or satisfy various regulatory requirements
• Assists with various production requests, including those internal and externally requested though regulatory exams and requests
• Assist in the maintenance of the department’s written supervisory and desktop procedures, including the Firm’s Supervisory Guidelines
• Provides dashboard reporting to highlight activities performed by the department highlighting identified trends and prepares daily/weekly/monthly exception reports
• Partners with the Operations team to enhance workflows and processes to improve overall controls or increase efficiencies

Skills

Regulatory oversight

Trade review

FINRA/SEC knowledge

Communication skills

Time management

Education

College degree or equivalent

Tools

MS Office

Trade platform systems

Job description

TD Wealth in Charlotte, North Carolina is seeking a Principal Review Analyst to oversee regulatory supervision of the firm’s trading activities. The role focuses on trade review of solicited business and approval of new accounts for the Investment Advisory Platform in line with FINRA/SEC standards.

This position requires Series 7 and Series 24 (or 9/10) licenses, plus Life & Health Insurance licensing, with potential for additional licensing.