Principal Review Unit Analyst - Manchester, New Hampshire

TD

Manchester, New Hampshire, United States of America
Base: $72,280 - $108,160 usd; bonus/equity: not sp...
Regulatory trade review and approval
Compliance with finra and sec rules
New account documentation review
The Principal Review Analyst role focuses on regulatory oversight and trade review for TD Private Client Wealth and TD Wealth Management Services

Job Summary

  • The Principal Review Analyst role focuses on regulatory oversight and trade review for TD Private Client Wealth and TD Wealth Management Services.
  • TD offers a comprehensive Total Rewards package including competitive salary, benefits, and career development opportunities.
  • The position requires collaboration with multiple departments to ensure compliance and improve controls within a fast-paced regulatory environment.

Matching Summary

The Principal Review Analyst role focuses on regulatory oversight and trade review for TD Private Client Wealth and TD Wealth Management Services.

Salary

Base: $72,280 - $108,160 USD; Bonus/Equity: Not specified; Benefits: Health, savings, retirement, PTO, banking discounts

Skills & Requirements

Must-have

  • Regulatory trade review and approval
  • Compliance with FINRA and SEC rules
  • New account documentation review
  • AML/CIP/KYC compliance
  • Collaboration with compliance and risk teams
  • Use of trade platform systems
  • Dashboard and exception reporting

Nice-to-have

  • Effective communication skills
  • Problem solving in regulatory environment
  • Time management and organization
  • Process improvement and workflow enhancement
  • Mentoring and career development focus

Key Requirements

  • 5+ years brokerage industry experience
  • FINRA Series 7 license
  • FINRA Series 24 or Series 9/10 license
  • State Life & Health Insurance License
  • Ability to obtain required licenses within scheduled time
  • Preferred FINRA Series 65 or 66
  • Preferred FINRA Series 63

Work Rights

Must be eligible for employment under FINRA standards

Tailored Resume

Cover Letter