TD Bank
Principal Review Analyst - Charlotte, NC
$72K–$118K
Charlotte, North Carolina +15 · On-site · Principal · Full-time · Posted Oct 30, 2026
- Location
- Charlotte, North Carolina
Portsmouth, New Hampshire
Mount Laurel, New Jersey
Exton, Pennsylvania
Ramsey, New Jersey
Sarasota, Florida
Vienna, Virginia
Greenville, South Carolina
Princeton, New Jersey
Manchester, New Hampshire
Melville, New York
White Plains, New York
New York, New York
Boston, Massachusetts
Hartford, Connecticut
Portland, Maine - Experience
- 5+ years of Brokerage industry experience.
- Education
- College degree or equivalent experience.
About the job
Performs regulatory supervisory reviews of wealth-management accounts and transactions, oversees centralized controls, and supports compliance and supervisory teams.
What you'll do
- Review and approve new account documentation and brokerage, advisory, insurance, and annuity business for regulatory compliance and suitability.
- Coordinate account reviews, oversee centralized control reporting, and prepare exception and activity reports.
- Support regulatory requests and supervisory procedures, and work with Operations to improve controls and workflows.
What they ask for
- FINRA Series 7.
- FINRA Series 24 or Series 9/10; required or ability to obtain within scheduled time.
- State Life & Health Insurance License; required or ability to obtain within scheduled time.
- College degree or equivalent experience.
Nice to have
- FINRA Series 65 or 66; FINRA Series 63.
- Experience with trade platform systems.
Pay
$72,280 - $117,520 USD (base salary)
Tools
MS Office, trade platform systems
Model-written summary · the original posting is authoritative