Central Supervision Analyst - Vienna, VA

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 :

OCC Language :

Physical Requirements :

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

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.

Who We Are : TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing and so will you.

Our Total Rewards Package : Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation / incentive awards (e.g., eligibility for cash and / or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.

Additional Information : We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development : If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD and we're committed to helping you identify