Regulatory Trade Surveillance Analyst
Listed on 2026-10-06
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Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Advisor / Consultant, Banking Analyst
TD Bank, N.A. in Greenville, SC is seeking a Central Supervision Analyst to provide FINRA and SEC regulatory oversight within TD Private Client Wealth. You will perform trade surveillance and monitor electronic communications, escalating findings to field supervision.
The role requires 5+ years brokerage experience and relevant licenses such as FINRA Series 7/24 (or 9/10). Proficiency with surveillance platforms like FIS SCCM, Smarsh, and Global Relay is preferred.
We are looking to fill the Regulatory Trade Surveillance Analyst position at TD Bank, N.A. in Greenville, SC, United States.
This role, Regulatory Trade Surveillance Analyst at TD Bank, N.A., could be your next career step.
Are you ready to take on the Regulatory Trade Surveillance Analyst role at TD Bank, N.A.?
We would love to welcome a new Regulatory Trade Surveillance Analyst to our organisation in Greenville, SC, United States.
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