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Principal Review Analyst II

Company: TD Bank
Location: Melville
Posted on: November 17, 2021

Job Description:

Company Overview About TD Bank, America's Most Convenient Bank-- TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth--, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit Find TD Bank on Facebook at and on Twitter at TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit 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. This job works closely with the Market Supervision Managers and the operations departments of the US Wealth organization. Requirements 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 trend reporting to be used by Market Supervision Mangers in their surveillance of Firm business to help identify trends areas of concern. 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 reportsMust be eligible for employment under regulatory standards applicable to the position. Qualifications College degree or equivalent experience required 5+ years of Brokerage industry experience State Life & Health Insurance License FINRA Series 7 FINRA Series 24 FINRA Series 63 or 66 (or within 3 months) 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 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 applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position Hours 40 Inclusiveness At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential. If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

Keywords: TD Bank, New Haven , Principal Review Analyst II, Professions , Melville, Connecticut

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