Principal Review Analyst - Charlotte, NC

TD•Ramsey, NJ

3d•$72,280 - $117,520•Onsite

About The Position

The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job 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 Principal Review Analyst role focuses primarily on performing trade review of the solicited business submitted by the Distribution Department's sales producers. This activity includes providing principal review and approval of new account applications and reviewing brokerage, advisory, and insurance/annuity business for appropriateness under the various Standards of Conduct applicable. This team also maintains and performs various centralized controls and reporting. This job works closely with the Market Supervision Managers and the 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)
State Life & Health Insurance License (Required or ability to obtain within scheduled time)
In addition to MS Office software, experience in trade platform systems preferred.
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
This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws.
May (or may not) be a registered position under FINRA.
Must be eligible for employment under standards established by FINRA.
Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with 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

FINRA Series 65 or 66 (Preferred)
FINRA Series 63 (Preferred)

Responsibilities

Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability rules and ensures compliance with AML/CIP/KYC programs regarding new account opening
Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases and reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform in conjunction with the client's goals and objectives
Coordinates initial and annual account review for both TDPCW and Reg-9 reviews for TDBNA to aid the Market Supervisory Managers and Field Supervision teams and oversees centralized control report activity used to issue inquiries to field supervisors and/or satisfy various regulatory requirements
Assists with various production requests, including those internal and externally requested though regulatory exams and requests
Assist in the maintenance of the department's written supervisory and desktop procedures, including the Firm's Supervisory Guidelines
Provides dashboard reporting to highlight activities performed by the department highlighting identified trends and prepares daily/weekly/monthly exception reports
Partners with the Operations team to enhance workflows and processes to improve overall controls or increase efficiencies