Trade Operations Support Specialist (US)

TD•Hartford, CT

23h•$72,280 - $117,520•Onsite

About The Position

The Trade Operations Support Specialist supports trade operations for TD Wealth by reviewing, releasing, or escalating flagged live orders; executing trades; filing required regulatory reports; and assisting advisors with trading operations. The role supports complex transactions, including blocked and restricted trades, manages brokerage trade corrections, and follows up on debit margin issues to ensure timely resolution and compliance with regulatory requirements. The specialist collaborates with the manager to develop and maintain trading rules and configure trade system settings in NetX360. The position also supports reporting and analysis for internal and regulatory requirements, and coordinates with advisors and support teams to investigate and resolve trade errors, limit financial exposure, and prevent recurrence.

Requirements

At least 3 years of industry experience.
Series 7 and Series 24 licenses.
Must be eligible for employment under FINRA standards.
Satisfactory results on required criminal background, credit report, civil litigation, and regulatory or self-regulatory enforcement searches, as well as required applicant statements or certifications.
Ability to perform the listed essential functions, including sustained concentration, reading and comprehending instructions, basic arithmetic, and operating standard office equipment.

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, releasing them for execution or escalating issues as appropriate for risk management and compliance.
Provide advisors with proactive guidance on trading systems, processes, and best practices.
Assist advisors with complex trading activities, including block trades, restricted securities, and other specialized transactions.
Manage brokerage trade corrections promptly while minimizing client impact.
Respond to inquiries and follow up on debit margin matters to support client service and operational integrity.
Support the manager in preparing reports and analyses for internal and regulatory requirements.
Coordinate with advisors and support teams to identify, investigate, and resolve trade errors, minimize financial exposure, and prevent recurrence.