Senior Regulatory Trade Review Analyst

TD Bank Group; Charlotte (NC); Hybrid; USD 72,000 - 118,000; Full time

Job summary

TD Bank Group in Charlotte, NC is seeking a Principal Review Analyst to support regulatory supervision for TD Private Client Wealth and TD Wealth Management Services. The role focuses on trade reviews of solicited business and approval of new account applications.

You will review brokerage, advisory, and insurance/annuity business for suitability under FINRA and SEC rules, maintain supervisory controls, and prepare dashboards and reports for governance and regulatory exams.

Qualifications

• Regulatory knowledge of FINRA/SEC rules and suitability standards.
• Strong attention to detail in reviewing client accounts and trades.
• Excellent communication skills across all levels of staff and management.
• Ability to multi-task in a fast-paced regulatory environment.

Responsibilities

• Review and approve new account documentation to ensure FINRA/SEC compliance and client AML/KYC requirements.
• Conduct primary trade reviews for solicited brokerage, advisory, and insurance/annuity transactions and approvals.
• Coordinate initial and annual account reviews to support supervisory managers and regulatory exams.
• Prepare dashboard reports and exception reports; assist with regulatory requests and exams.

Skills

Regulatory knowledge

Attention to detail

Communication skills

Multi-tasking

Education

Bachelor's degree or equivalent experience

Tools

MS Office

Trade platform systems

Job description

TD Bank Group in Charlotte, NC is seeking a Principal Review Analyst to support regulatory supervision for TD Private Client Wealth and TD Wealth Management Services. The role focuses on trade reviews of solicited business and approval of new account applications.

You will review brokerage, advisory, and insurance/annuity business for suitability under FINRA and SEC rules, maintain supervisory controls, and prepare dashboards and reports for governance and regulatory exams.