Central Supervision Analyst - Greenville, SC

TD•Boston, MA

1d•$72,280 - $117,520•Onsite

About The Position

The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This role 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). The Central Supervision Analyst performs essential trade surveillance and electronic communications monitoring functions. This role performs these monitoring functions, including the escalation of identified trades, trends/patterns, and flagged electronic communications. This role works closely with the supervision, operations, compliance, and risk departments of the US Wealth organization.

Requirements

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)
Computer skills: In addition to MS Office software, experience in platform systems preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Smarsh, Sprinklr, etc.)
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
Must be eligible for employment under standards established by 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.

Nice To Haves

State Life & Health Insurance License (Preferred)
FINRA Series 65 or 66 (Preferred)
FINRA Series 63 (Preferred)

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