Senior Wealth Surveillance & Compliance Analyst

TD Bank Group (TD); Boston (MA); On-site; USD 72,000 - 118,000; Full time

Job summary

TD Bank in Greenville, SC seeks a Central Supervision Analyst to support FINRA/SEC regulatory oversight for TD Private Client Wealth and related services. You will monitor trades and electronic communications, escalating issues to field supervision and coordinating with operations, compliance and risk teams.

The role requires extensive brokerage experience, licenses such as FINRA Series 7/24 (or ability to obtain), and proficiency with surveillance platforms and MS Office.

Qualifications

• 5+ years of Brokerage industry experience.
• Licenses: FINRA Series 7 and Series 24 required or able to obtain.
• Experience with surveillance and regulatory reporting systems.
• Proficiency with MS Office and platform systems.

Responsibilities

• Perform trade surveillance and electronic communications monitoring.
• Escalate identified trades, trends, and flagged communications to supervision.
• Review employee trades and supervise centralized unit activities.
• Prepare trend reports for field supervision and risk oversight.
• Respond to inquiries and maintain documented evidence of activities.
• Support development and maintenance of supervisory procedures.
• Identify areas for process improvement and risk identification.

Skills

Regulatory knowledge

Strong communication

Brokerage experience

Analytical skills

Education

FINRA Series 7

FINRA Series 24

State Life & Health Insurance License (Preferred)

FINRA Series 65 or 66 (Preferred)

FINRA Series 63 (Preferred)

Tools

Global Relay

FIS Supervision Compliance Manager

Smarsh

Sprinklr

Job description

TD Bank in Greenville, SC seeks a Central Supervision Analyst to support FINRA/SEC regulatory oversight for TD Private Client Wealth and related services. You will monitor trades and electronic communications, escalating issues to field supervision and coordinating with operations, compliance and risk teams.

The role requires extensive brokerage experience, licenses such as FINRA Series 7/24 (or ability to obtain), and proficiency with surveillance platforms and MS Office.