Job Details

The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This role 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 Central Supervision Analyst performs essential trade surveillance and electronic communications monitoring functions. This role performs these monitoring functions, including the escalation of identified trades, trends/patterns, and flagged electronic communications. This role works closely with the supervision, operations, compliance, and risk departments of the US Wealth organization. Depth & Scope: Performs various monitoring activities including trade and electronic communication reviews on a day-to-day basis, adhering to established SLAs. Reviews and dispositions flagged trades, trends and patterns identified by the FIS Supervisio...Analyst, Compliance Manager, Monitoring, Continuous, Regulatory, Technology, Banking, Supervisor