Central Supervision Analyst

Central Supervision Analyst

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 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.

Education & Experience:

• 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)
• 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.)
• 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 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 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.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous.
• Reading, writing and comprehending instructions Continuous.
• Adding, subtracting, multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.