Trade Operations Support Specialist (US)

TD Bank • Hartford, CT

1d • Onsite

About The Position

The Trade Operations Support Specialist reviews, releases, or escalates flagged live orders; executes trades; completes required regulatory reporting; and supports advisors across trading operations. The role handles complex transactions, including block and restricted trades, manages brokerage trade corrections, and responds to debit margin issues to support timely resolution and regulatory compliance.

The specialist collaborates with the manager to maintain trading rules and configure trade system settings in NetX360. The role also supports reporting and analysis, investigates trade errors with advisors and support teams, and helps minimize financial exposure and prevent recurring issues. The position is based in Hartford, Connecticut, and is listed for 40 hours.

Requirements

• At least 3 years of industry experience.
• Series 7 and Series 24 licenses.
• Must be eligible for employment under FINRA standards and satisfy applicable investigation and verification requirements.
• Satisfactory results on required criminal background, credit report, civil litigation, and regulatory or self-regulatory organization enforcement-action checks.
• Provide required statements or certifications regarding administrative, civil, or criminal findings by government agencies or self-regulatory organizations.

Nice To Haves

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

Responsibilities

• Collaborate with the manager to develop and maintain trading rules and configure trade system settings in NetX360.
• Execute trades accurately and complete required regulatory and operational reporting on time.
• Review flagged live orders, release them for execution, or escalate issues as appropriate.
• Provide advisors with guidance on trading systems, processes, and best practices.
• Assist advisors with complex trading activities, including block trades, restricted securities, and specialized transactions.
• Manage brokerage trade corrections promptly and minimize client impact.
• Respond to debit margin inquiries and oversee follow-up to support client service and operational integrity.
• Assist the manager with reports and analyses for internal and regulatory requirements.
• Help identify, investigate, and resolve trade errors by coordinating with advisors and support teams, minimizing financial exposure and preventing recurrence.

Benefits

• 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
• Reward and recognition
• Variable compensation or incentive awards may be available, including cash and/or equity awards through an incentive plan
• Training and onboarding
• Online learning platform and mentoring programs

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed