Senior Wealth Surveillance & Compliance Analyst
td bank group tdEast Boston (MA)
Senior Wealth Surveillance & Compliance Analyst
Posted today
td bank group tdEast Boston (MA)
SENIORITY
Senior
About the role
TD Bank in Greenville, SC seeks a Central Supervision Analyst to support FINRA/SEC regulatory oversight for TD Private Client Wealth and related services. You will monitor trades and electronic communications, escalating issues to field supervision and coordinating with operations, compliance and risk teams. The role requires extensive brokerage experience, licenses such as FINRA Series 7/24 (or ability to obtain), and proficiency with surveillance platforms and MS Office.
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
It's what we read first. Occupations, seniority and locations matter more than a long history.
Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
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