Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: $72,280 - $117,520 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues.
Growth opportunities and skill development are defining features of the colleague experience at TD.
Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role.
The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Line of Business: TD Wealth Job Description: The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ).
This job 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 Principal Review Analyst role focuses primarily on performing trade review of the solicited business submitted by the Distribution Department's sales producers.
This activity includes providing principal review and approval of current account applications and reviewing brokerage, advisory, and insurance/annuity business for appropriateness under the various Standards of Conduct applicable.
This team also maintains and performs various centralized controls and reporting.
This job works closely with the Market Supervision Managers and the operations, compliance, and risk departments of the US Wealth organization.




Depth 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 regulatory agency or self- regulatory organization enforcement action 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: *****%; Continuous: ******% 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

📌 Principal Review Analyst - Charlotte, Nc (Western Australia)
🏢 TD
📍 Western Australia