Principal Review Unit Analyst - Manchester, New Hampshire

TD Bank

Manchester, New Hampshire, United States of America
$72,280 - $108,160 usd; not specified; not specifi...
Finra and sec regulatory supervisory principal position
Perform trade review of solicited business
Review new account applications
This job assists in the regulatory oversight for TD Private Client Wealth, a US registered Investment Advisory Service and a US Broker Dealer

Job Summary

  • This job assists in the regulatory oversight for TD Private Client Wealth, a US registered Investment Advisory Service and a US Broker Dealer.
  • The Principal Review Analyst role focuses primarily on performing trade review of the solicited business submitted by the Distribution Department's sales producers.
  • TD is committed to providing fair and equitable compensation opportunities to all colleagues, with growth opportunities and skill development as defining features of the colleague experience.

Matching Summary

This job assists in the regulatory oversight for TD Private Client Wealth, a US registered Investment Advisory Service and a US Broker Dealer.

Salary

$72,280 - $108,160 USD; Not specified; Not specified

Skills & Requirements

Must-have

  • FINRA and SEC regulatory supervisory principal position
  • Perform trade review of solicited business
  • Review new account applications
  • Review brokerage, advisory, and insurance/annuity business

Nice-to-have

  • Enhance workflows and processes
  • Dashboard reporting and exception reports
  • Career development and skill development

Key Requirements

  • 5+ years of Brokerage industry experience
  • FINRA Series 7 Required
  • FINRA Series 24 Required (or FINRA Series 9/10)
  • State Life & Health Insurance License
  • FINRA Series 65 or 66 (Preferred)
  • FINRA Series 63 (Preferred)

Work Rights

Must be eligible for employment under FINRA standards

Tailored Resume

Cover Letter