Senior Regulatory Review Analyst - Wealth
Job in
Hartford, Hartford County, Connecticut, 06112, USA
Listed on 2026-06-28
Listing for:
TD Bank
Full Time
position Listed on 2026-06-28
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services, Banking & Finance
Job Description & How to Apply Below
TD Bank is looking for a Principal Review Analyst based in Hartford, Connecticut. The role involves regulatory oversight for TD Private Client Wealth services and focuses on ensuring compliance with FINRA and SEC regulations through trade reviews and account documentation.
The ideal candidate will possess a college degree, have over 5 years of brokerage experience, and hold necessary FINRA certifications. Benefits include a comprehensive rewards package and a commitment to professional development.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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