Global Macroeconomic Analyst
Prudential Financial
Python
Central Supervision Analyst
TD
full-time
Posted on:
Location Type: Hybrid
Location: Marlton • New Jersey, South Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $68,640 - $102,960 per year
Job Level
Mid-LevelSenior
About the role
- Assists in the regulatory oversight for TD Private Client Wealth
- Performs essential trade surveillance and electronic communications monitoring functions
- Reviews and dispositions flagged trades, trends, and patterns identified by the FIS Supervision Compliance Manager automated surveillance system
- Prepares various trend reporting used by the field supervision team in their oversight of Firm business
Requirements
- 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 (Preferred)
- FINRA Series 65 or 66 (Preferred)
- FINRA Series 63 (Preferred)
- Experience in platform systems preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Smarsh, Sprinklr, etc.)
Benefits
- Health and well-being benefits
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Career development opportunities
- Regular development conversations and training programs
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
trade surveillanceelectronic communications monitoringtrend reportingregulatory oversightdisposition of flagged trades
Certifications
FINRA Series 7FINRA Series 24FINRA Series 9FINRA Series 10State Life & Health Insurance LicenseFINRA Series 65FINRA Series 66FINRA Series 63
