Senior Regulatory Compliance Officer

21 hours ago


Philadelphia, Pennsylvania, United States TD Bank N.A Full time

Job Summary:

The Principal Review Analyst II is a key role within the Central Office of Supervisory Jurisdiction (OSJ) at TD Bank N.A. This position is responsible for assisting in the regulatory oversight of TD Private Client Wealth (TDPCW), a US registered investment advisor.

Key Responsibilities:

  • Assist in the development and implementation of regulatory policies and procedures to ensure compliance with FINRA and SEC regulations.
  • Conduct regular reviews of investment advisor activities to ensure adherence to regulatory requirements.
  • Collaborate with cross-functional teams to identify and mitigate regulatory risks.
  • Provide guidance and support to investment advisor representatives on regulatory matters.
  • Stay up-to-date on regulatory changes and developments to ensure the firm remains compliant.

Requirements:

  • Strong knowledge of FINRA and SEC regulations.
  • Excellent analytical and problem-solving skills.
  • Ability to work in a fast-paced environment and prioritize multiple tasks.
  • Strong communication and interpersonal skills.
  • BA/BS degree in a related field.


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