Trade Operations Support Specialist

TD Bank • Hartford, CT

12d

About The Position

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.

Requirements

• 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.

Responsibilities

• 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

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees