Central Supervision Analyst
TD Bank Group(1 month ago)
About this role
The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal based in TD Wealth’s Central Office of Supervisory Jurisdiction, supporting regulatory oversight for TD Private Client Wealth and TD Wealth Management Services. The role is situated within TD Wealth and works closely with supervision, operations, compliance, and risk teams to support regulatory adherence and organizational controls.
Required Skills
- Trade Surveillance
- Communications Monitoring
- Regulatory Oversight
- Surveillance Systems
- Risk Identification
- Report Preparation
- Stakeholder Communication
- Multi-Tasking
- Process Improvement
- Licensing
Qualifications
- College Degree
- FINRA Series 7
- FINRA Series 24
- FINRA Series 9/10 (alternative)
- State Life & Health License
- FINRA Series 65
- FINRA Series 66
- FINRA Series 63
About TD Bank Group
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