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TD · 4 hours ago

Central Supervision Analyst

Greenville, SC

Full-time

Onsite

Mid, Senior Level

$69K/yr - $103K/yr

5+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Central Supervision Analyst to assist in regulatory oversight for TD Private Client Wealth. This role involves performing trade surveillance and electronic communications monitoring, working closely with various departments within the US Wealth organization.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Performs various monitoring activities including trade and electronic communication reviews on a day-to-day basis, adhering to established SLAs

Reviews and dispositions flagged trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system and escalates matters to the field supervision team

Reviews and dispositions identified electronic communications, including email, texting, and social media and escalates matters to the field supervision team

Performs employee trade monitoring and other supervisory functions delegated to the Centralized Supervisory Unit

Prepares various trend reporting used by the field supervision team in their oversight of Firm business to help identify trends areas of concern

Responds to inquiries, both internal and external, to produce various evidence of performed activities, as needed

Assists with the development and maintenance of the department's written supervisory and desktop procedures

Proactively identifies areas for process improvement and/or enhanced risk identification

Qualification

FINRA Series 7FINRA Series 24Brokerage industry experienceFINRA Series 65Trade surveillanceElectronic communications monitoringMS OfficeProblem-solvingTime managementEffective communication

Required

College degree or equivalent experience required

5+ years of Brokerage industry experience

FINRA Series 7 Required

FINRA Series 24 Required (or FINRA Series 9/10) (Required or ability to obtain within scheduled time)

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

Preferred

State Life & Health Insurance License (Preferred)

FINRA Series 65 or 66 (Preferred)

FINRA Series 63 (Preferred)

Computer skills: In addition to MS Office software, experience in platform systems preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Smarsh, Sprinklr, etc.)