Principal Review Analyst II

Description

The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory
Jurisdiction (OSJ). This job assists in the regulatory oversight for TD Private Client Wealth,(TDPCW), a US registered Investment Advisory
Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus on new account review and suitability for
and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as well as our fixed annuity insurance platforms. In
addition, the Principal Review Analyst will execute surveillance procedures, including addressing flags within the FIS Supervision
Compliance Manager (FIS SCM) automated surveillance system.

Depth & Scope:

•Reviews and approves New Account documentation to ensure adherence to all applicable FINRA and SEC rules regarding
client accounts including Regulation Best Interest and FINRA suitability rule

• 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
in conjunction with the client's goals and objectives.

•Coordinates initial and annual account review for both TDPCW and Reg-9 reviews for TDBNA to aid the MSMS in following
up on reviews

•Prepares manual trend reporting to be used by Market Supervision Mangers in their surveillance of Firm business to help
identify trends areas of concern

• 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 to ensure
proper review of flagged activity including identified trades, patterns, and trends to be addressed by the field supervision team

• Aids during inspections of OSJ branch offices and assists in the steps to correct any documented deficiencies
Assists with regulatory exams and requests as well as assist with the maintenance of the departments written supervisory
procedures

• Reviews daily new account status and follow-up
• Prepares daily/weekly/monthly exception reports

Education & Experience:

• 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 & ever-changing regulatory environment
• Effective organization, time management, and follow up of work
• Ability to obtain additional licensing, as required
OCC 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

•Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification
requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation,
qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the
applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation
and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation
to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar
days after the Form U4 is filed with FINRA

•Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self regulatory
organization enforcement action search, and statements/certification from job applicant regarding administrative,
civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law
for this position

Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. 

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

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.

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.