Senior Regulatory Trade Review Analyst
TD Bank
TD Bank is hiring a Principal Review Analyst in Hartford, Connecticut. This role involves regulatory oversight for TD Private Client Wealth and performing essential compliance reviews of transactions. A successful candidate will need to have substantial brokerage experience and various FINRA licenses. Responsibilities include adhering to FINRA and SEC regulations during trade reviews, managing account documentation, and collaborating with the compliance teams. Candidates should possess strong communication skills and the ability to navigate a dynamic regulatory environment. #J-18808-Ljbffr TD Bank
Vacancy posted 1 day ago
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