Trade Operations Support Specialist

Work Location:

Hartford, Connecticut, United States of America

40

$68,640 - $102,960 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  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.

TD Wealth

The Trade Operations Support Specialist is responsible for reviewing releasing or escalating flagged live orders, executing trades and filing required regulatory reports; and assisting advisors with all aspects of trading operations this rule supports complex transactions including blocked and restricted trades manages brokerage trade corrections and responds to and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements.

• Collaborates with the manager to develop and maintain trading rules and configure trade system settings in NetX
  360 to support business objectives

• Executes trades accurately and ensure timely completion of all required regulatory and operational reporting

• Reviews flagged live orders, releasing them for execution or escalating issues as appropriate to ensure risk management and compliance

• Provides proactive support to advisors on trading operations, offering guidance on systems, processes, and best practices

• Assists advisors with complex trading activities, including block trades, restricted securities, and other specialized transactions

• Manages brokerage trade corrections, ensuring prompt resolution and minimal client impact

• Responds to inquiries and oversee follow-up related to debit margin matters, maintaining high standards of client service and operational integrity

• Supports the manager in preparing reports and analyses to meet internal and regulatory requirements

• Assists in identifying, investigating and resolving trade errors by coordinating with advisors and support teams, helping to minimize financial exposure and prevent reoccurrence

• An undergraduate degree in a relevant field is preferred, however candidates with significant directly related professional experience will also be considered

• 3+ years industry experience

• Series 7 and 24

• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.

• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4;
  
  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.

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

• 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.) - Occasional

• Squatting - Occasional

• Bending - Occasional

• Kneeling - Occasional

• Crawling - Never

• Climbing - Never

• Reaching overhead - Occasional

• 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,…