Principal Review Analyst II - Regulatory Compliance

DescriptionThe Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position within the Central Office of Supervisory Jurisdiction (OSJ). This role assists in the regulatory oversight for TD Private Client Wealth (TDPCW) and TD Wealth Management Services Inc. (TDWMSI), focusing on new account review, suitability, and trades executed within the TDPCW Broker Dealer and Registered Investment Advisor. The Principal Review Analyst will also execute surveillance procedures, addressing flags within the FIS Supervision Compliance Manager (FIS SCM) automated surveillance system.Company Culture and EnvironmentTD Securities is growth-oriented, people-focused, and community-minded. The company emphasizes delivering value to clients daily while fostering an environment that supports colleague development and well-being.Career Growth and Development OpportunitiesTD offers regular career development conversations, access to an online learning platform, and mentoring programs to help colleagues unlock future opportunities. The commitment to providing support for professional growth is evident in the structured approach to career success.Detailed Benefits and Perks• Base salary and variable compensation/incentive awards• Health and well-being benefits• Savings and retirement programs• Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO• Banking benefits and discounts• Career development opportunities and reward and recognition programsCompensation and Benefits• Pay Detail: \(68,640 - \)112,320 USD• TD is committed to fair and equitable compensation opportunities for all colleagues. Candidates are encouraged to discuss compensation-related questions with their recruiter.Why you should apply for this position todayThis position offers a unique opportunity to contribute to the regulatory oversight of significant financial services, ensuring compliance with vital industry standards. By joining TD, you will be part of a team that plays a crucial role in the financial landscape while having access to extensive professional development resources.Skills• Strong understanding of FINRA and SEC regulations• Excellent analytical and problem-solving abilities• Effective written and verbal communication skills• Capability to prioritize and multi-task accurately• Proficiency in trade platform systems and MS Office software• Ability to work effectively in a fast-paced regulatory environmentResponsibilities• Review and approve new account documentation to ensure adherence to regulatory rules• Ensure compliance with AML/CIP/KYC programs related to new account openings• Approve Statement of Selection documentation for Managed Accounts• Coordinate annual account reviews and assist with trend reporting• Address flagged activity in the FIS SCM automated surveillance system• Aid in inspections of OSJ branch offices and regulatory exams• Prepare daily/weekly/monthly exception reportsQualifications• College degree or equivalent experience required• 5+ years of brokerage industry experience• Strong communication and organizational skills• Ability to solve problems in a fast-paced environmentEducation Requirements• State Life & Health Insurance License (preferred or ability to obtain)• Securities Industry Essentials (SIE)• FINRA Series 7 Required• FINRA Series 24 Required (or Series 9⁄10)• FINRA Series 63 or 66 Required (or ability to obtain)• FINRA Series 53 PreferredExperience Requirements• Minimum of 5 years of relevant experience in the brokerage industry• Proven ability to handle regulatory compliance and supervisory responsibilitiesWhy work in West Palm Beach, FLWest Palm Beach offers a vibrant lifestyle with beautiful beaches, cultural attractions, and a warm climate. The area is known for its thriving art scene, diverse dining options, and ample outdoor activities, providing a balanced and enjoyable living experience. The professional landscape in West Palm Beach is also supportive of career growth, particularly in the financial services sector.