TD Bank Group

Principal Review Unit Analyst - Greenville, SC

TD Bank Group

5 days ago
Greenville, SC
Onsite
Full Time
Senior
0 applicants
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TD Bank Group
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About this role

The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal within TD's Central Office of Supervisory Jurisdiction for TD Private Client Wealth and related TD Wealth Management Services. The role sits within TD Wealth's governance framework and touches on oversight of brokerage and advisory activities under applicable rules. Based in Greenville, SC, the position collaborates with operations, compliance and risk teams to support the firm's regulatory framework.

Skills

Qualifications

College DegreeFINRA Series 7FINRA Series 24Life Insurance LicenseHealth Insurance License
TD Bank Group

About TD Bank Group

td.com

Explore TD's online banking services, credit cards, checking accounts, savings accounts, loans and more financial products for you and your business.

About TD Bank Group

Headquarters

San Francisco, CA

Company Size

201-500 employees

Founded

2018

Industry

Technology

Glassdoor Rating

4.2 / 5

Leadership Team

Sarah Johnson

Chief Executive Officer

Michael Chen

Chief Technology Officer

Emily Williams

VP of Engineering

David Rodriguez

VP of Product

Jessica Thompson

Chief Financial Officer

Andrew Park

VP of Sales

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