TD Securities · 23 hours ago
Central Supervision Analyst
Greenville, SC
Full-time
Onsite
Senior Level
$72K/yr - $108K/yr
5+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Central Supervision Analyst to assist in regulatory oversight for TD Private Client Wealth and TD Wealth Management Services. The role includes performing trade surveillance and electronic communications monitoring, collaborating with various departments to ensure compliance and risk management.
BankingFinanceFinancial Services
Responsibilities
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 Supervision Compliance Manager (FIS CM) automated surveillance system and escalates matters to the field supervision team
Reviews and dispositions identified electronic communications, including email, texting, and social media and escalates matters to the field supervision team
Performs employee trade monitoring and other supervisory functions delegated to the Centralized Supervisory Unit
Prepares various trend reporting used by the field supervision team in their oversight of Firm business to help identify trends areas of concern
Responds to inquiries, both internal and external, to produce various evidence of performed activities, as needed
Assists with the development and maintenance of the department's written supervisory and desktop procedures
Proactively identifies areas for process improvement and/or enhanced risk identification
Qualification
Required
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) (Required or ability to obtain within scheduled time)
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
Preferred
State Life & Health Insurance License (Preferred)
FINRA Series 65 or 66 (Preferred)
FINRA Series 63 (Preferred)
Computer skills: In addition to MS Office software, experience in platform systems preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Smarsh, Sprinklr, etc.)
Benefits
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
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
Company data provided by crunchbase