Principal Review Analyst II

Work Location:

United States of America

Hours:

40

Pay Details:

$68,640 - $112,320 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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.

Line of Business:

TD Wealth

Job Description:

The Principal Review Analyst II 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), with a focus on new account review and suitability for
and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as well as our fixed annuity insurance platforms. In
addition, the Principal Review Analyst will execute surveillance procedures, including addressing flags within the FIS Supervision
Compliance Manager (FIS SCM) automated surveillance system.

Depth & Scope:

•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 rule

• Ensures compliance with AML/CIP/KYC programs regarding new account opening
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 MSMS in following
up on reviews

•Prepares manual trend reporting to be used by Market Supervision Mangers in their surveillance of Firm business to help
identify trends areas of concern

• Executes centralized control report activity used to issue inquiries to field supervisors and/or satisfy regulatory requirements
Addresses items within the FIS Supervision Compliance Manager (FIS SCM) automated surveillance system to ensure
proper review of flagged activity including identified trades, patterns, and trends to be addressed by the field supervision team

• Aids during inspections of OSJ branch offices and assists in the steps to correct any documented deficiencies
Assists with regulatory exams and requests as well as assist with the maintenance of the departments written supervisory
procedures

• Reviews daily new account status and follow-up
• Prepares daily/weekly/monthly exception reports

Education & Experience:

• College degree or equivalent experience required

• 5+ years of Brokerage industry experience
• State Life & Health Insurance License (Preferred or ability to obtain within the scheduled time frame)
• Securities Industry Essentials (SIE)
• FINRA Series 7 Required
• FINRA Series 24 Required (or Series 9/10) (Required or ability to obtain within 90-day time frame)
• FINRA Series 63 or 66 (Required or ability to obtain within 90-day time frame)
• FINRA Series 53 Preferred
• Computer skills: In addition to MS Office software, experience in trade platform systems is 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
OCC Language:
This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities
Laws. May (or may not) be a registered position under FINRA

•Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification
requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation,
qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the