Trade Operations Support Specialist

TD • Hartford, CT

1d • Onsite

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. This role also assists advisors with all aspects of trading operations. The position 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

• 3+ years industry experience
• Series 7 and 24 (or eligible for employment under FINRA standards)
• Must be eligible for employment under standards established by FINRA.
• Subject to the investigation and verification requirements of FINRA Rule 3110(e), including background checks (criminal, credit, civil litigation, regulatory agency/SRO enforcement action searches).
• Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search.
• Statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization.

Nice To Haves

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

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

• Base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree