Principal Review Unit Analyst - Manchester, Hampshire

Work Location

Manchester, New Hampshire, United States of America

40

$72,280 - $108,160 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

TD Wealth

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.

• 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

• 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)
• FINRA Series 65 or 66 (Preferred)
• FINRA Series 63 (Preferred)
• Computer skills:
  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…