Principal Review Analyst II
4 days ago
Description
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 providing regulatory oversight for TD Private Client Wealth and TD Wealth Management Services Inc. The successful candidate will assist in the review and approval of new account documentation to ensure adherence to FINRA and SEC rules, including Regulation Best Interest and FINRA suitability rule.
Key Responsibilities:
• Reviews and approves new account documentation to ensure compliance with FINRA and SEC rules
• Ensures compliance with AML/CIP/KYC programs regarding new account opening
• Reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform
• Coordinates initial and annual account review for both TDPCW and Reg-9 reviews for TDBNA
• Prepares manual trend reporting to be used by Market Supervision Managers in their surveillance of Firm business
• Executes centralized control report activity used to issue inquiries to field supervisors and/or satisfy regulatory requirements
• Addresses items within the FIS Supervision Compliance Manager (FIS SCM) automated surveillance system
Requirements:
• College degree or equivalent experience required
• 5+ years of Brokerage industry experience
• State Life & Health Insurance License (Preferred or ability to obtain within the scheduled time frame)
• Securities Industry Essentials (SIE)
• FINRA Series 7 Required
• FINRA Series 24 Required (or Series 9/10) (Required or ability to obtain within 90-day time frame)
• FINRA Series 63 or 66 (Required or ability to obtain within 90-day time frame)
• FINRA Series 53 Preferred
• Computer skills: In addition to MS Office software, experience in trade platform systems is preferred
• Ability to communicate effectively with all levels of staff and management
• Ability to prioritize and multi-task with a high degree of accuracy
• Ability to solve problems in a fast-paced and ever-changing regulatory environment
• Effective organization, time management, and follow-up of work
• Ability to obtain additional licensing, as required
Language:
This position is with a FINRA member, broker, and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
Accommodation:
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
Equal Employment Opportunity:
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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