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TD

Principal Review Analyst

TD

Principal Review Analyst overseeing trade reviews and maintenance of compliance procedures for TD Private Client Wealth. Collaborating closely with Market Supervision Managers and compliance teams.

Posted 6/26/2026full-timeCharlotte • New Hampshire, New Jersey, North Carolina, Pennsylvania • 🇺🇸 United StatesLead💰 $72,280 - $117,520 per yearWebsite

About the role

Key responsibilities & impact
  • Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts
  • Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases
  • Reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform
  • Coordinates initial and annual account review for both TDPCW and Reg-9 reviews for TDBNA
  • Assists with various production requests, including those internal and externally requested through regulatory exams and requests
  • Assists in the maintenance of the department's written supervisory and desktop procedures
  • Provides dashboard reporting to highlight activities performed by the department
  • Partners with the Operations team to enhance workflows and processes to improve overall controls or increase efficiencies

Requirements

What you’ll need
  • 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)
  • State Life & Health Insurance License (Required or ability to obtain within scheduled time)
  • FINRA Series 65 or 66 (Preferred)
  • FINRA Series 63 (Preferred)
  • 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

Benefits

Comp & perks
  • Health insurance
  • 401(k) matching
  • Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
  • Career development
  • Reward and recognition

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools
trade reviewsbrokerage transactionsannuity purchasesregulatory compliancedashboard reportingworkflow enhancementprocess improvementsupervisory proceduresdesktop procedures
Soft Skills
effective communicationprioritizationmulti-taskingproblem-solvingorganizationtime managementfollow-up
Certifications
FINRA Series 7FINRA Series 24FINRA Series 9FINRA Series 10State Life & Health Insurance LicenseFINRA Series 65FINRA Series 66FINRA Series 63