Central Supervision Analyst
TD Bank Group(27 days ago)
About this role
The Central Supervision Analyst is a FINRA and SEC supervisory principal position within TD Wealth’s Central Office of Supervisory Jurisdiction supporting regulatory oversight for TD Private Client Wealth and TD Wealth Management Services. The role is part of the US Wealth organization and interfaces with supervision, operations, compliance, and risk teams to support firm-wide regulatory compliance and monitoring functions.
Required Skills
- Trade Surveillance
- Electronic Communications
- Regulatory Compliance
- Supervision
- Risk Management
- Reporting
- Investigation
- Platform Systems
- MS Office
- Communication
+2 more
Qualifications
- College Degree
- FINRA Series 7
- FINRA Series 24
- FINRA Series 9/10
- State Life & Health Insurance License
- FINRA Series 65
- FINRA Series 66
- FINRA Series 63
About TD Bank Group
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