Senior Regulatory Trade Review Analyst

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

Job summary

TD Wealth is seeking a Principal Review Analyst to lead regulatory supervision for TD Private Client Wealth and related entities. The role focuses on approving new account documentation and reviewing brokerage, advisory, and insurance/annuity activities for suitability under FINRA and SEC rules.

It requires coordination with Market Supervisory Managers and internal risk/compliance teams.

Qualifications

• College degree or equivalent experience required.
• 5+ years of Brokerage industry experience.
• FINRA Series 7 and Series 24 required (or within scheduled time).
• State Life & Health Insurance License required or ability to obtain.
• FINRA Series 65 or 66 preferred; Series 63 preferred.

Responsibilities

• Perform primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases.
• Review new account documentation for compliance with FINRA/SEC rules and AML/KYC/ CIP requirements; authorize selections and platforms.

Skills

Brokerage industry experience

FINRA Series 7

FINRA Series 24

Life & Health Insurance License

FINRA Series 65 or 66

FINRA Series 63

MS Office

Trade platform systems

Education

College degree or equivalent experience

Tools

MS Office

Trade platform systems

Job description

TD Wealth is seeking a Principal Review Analyst to lead regulatory supervision for TD Private Client Wealth and related entities. The role focuses on approving new account documentation and reviewing brokerage, advisory, and insurance/annuity activities for suitability under FINRA and SEC rules.

It requires coordination with Market Supervisory Managers and internal risk/compliance teams.