Trade Operations Support Specialist

Hartford, Connecticut, United States of America Hours: 40

$72,280 - $108,160 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. Line of Business: TD Wealth Job Description 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. Depth & Scope Collaborates with the manager to develop and maintain trading rules and configure trade system settings in NetX360 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 Education & Experience 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 OCC 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. Physical Requirements Domestic Travel – Occasional International Travel – Never Performing sedentary work – Continuous Performing multiple tasks – Continuous Operating standard office equipment - Continuous Responding quickly to sounds – Occasional Standing – Occasional Walking – Occasional Moving safely in confined spaces – Occasional Lifting/Carrying (under 25 lbs.) – Occasional Lifting/Carrying (over 25 lbs.) – Occasional Kneeling – Occasional 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, subtracting, multiplying and dividing – Continuous 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. Learn more Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at View email address on click.appcast.io. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. #J-18808-Ljbffr Dormont Manufacturing Co