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Spec, Margin Risk

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Chicago, Illinois ID# 2017-11938 Regular Full-Time First Level Professional


The Specialist, Margin Risk performs intermediate and complex functions of the Credit Risk team.  Key tasks include managing margin and complex derivative risk through exception resolution, client activity review, and other Risk Management report analysis.  Also included is the supervision and analysis of customer accounts as well as ensuring regulatory compliance with all applicable Self-regulatory Organization (SRO), firm, and industry guidelines.

Experience required includes detailed understanding and knowledge of equities and derivative products, including specific expertise in RegT and standard options.  Knowledge required includes product specifications, trading and expiration cycles, risk management principles, credit risk Written Supervisory Procedures (WSP’s), and other regulations.

The position requires a high degree of individual responsibility to manage firm and regulatory risk.  The position requires intimate knowledge of firm and third party systems, the ability to facilitate customer orders, and provide quality customer service through all communication channels. Leadership and extremely strong written/verbal communication skills are also required to drive the product and educate those new to the complexities of margin and option trading. 


  • Manage account exceptions (for example, maintenance calls, low equity) from inception to point of resolution
  • Ability to execute complex option and equity trades
  • Use firm systems and individual analysis to monitor and identify at risk accounts to mitigate customer trading and market risk
  • Collect, research and analyze client account information including equities, assets, and investments to determine margin call/sell out options
  • Take action in accounts as necessary to enforce customer compliance with regulations.  Determine and execute sell out decisions that provide the least financial loss to the client in high pressure, fast moving, market conditions
  • Ability to educate/explain financial reasoning behind actions taken to clients of varying market knowledge/expertise
  • Provide outbound client contact and service inbound communication from clients (written and verbal) to provide support for all inquiries regarding risk, products, and policies
  • Be a resource and subject matter expert for escalations on risk related issues for internal departments
  • Provide exceptional customer service through product education, understanding of client’s knowledge and needs, and place trades as needed
  • Facilitate customer orders and provide analysis of complex order issues (e.g. options available to reduce down side exposure)
  • Answer client questions regarding margin requirements, including nuances of RegT, day trading, and complex options (what/how much to sell and the affect on buying power)
  • Monitor customer and market risk issues related to option and equity trading
  • Educate internal associates and business partners regarding tools and products available and how clients can manage margin and complex derivatives within TD Ameritrade
  • Assume ownership of risk related issues arising within the firm
  • Share knowledge on risk complexities and areas of opportunity (e.g. pin risk, dividend risk)
  • Further develop One Trader vision of effectively managing risk while creating a great client and associate experience
  • Train and grow associate knowledge to provide the support necessary to grow our derivative business
  • Provide support to other inbound teams as needed, creating additional business capacity
  • Engage in discussions with clients, probing for unstated needs in order to provide appropriate solutions to meet client’s needs


  • 3 years of trading experience preferred or equivalent
  • 3 years of securities industry knowledge preferred
  • Possess an Expert level of knowledge of:
  • Equity Trading, Complex Options, Reg T Margin, Day Trading Margin, Greeks, Clearing and Back-Office, Margins Clearing
  • Possess basic level of knowledge of:
  • Technical Analysis, Foreign Exchange, Commodities, Interest Rate and Treasury Products, Portfolio Management, Trading Systems, Futures Deliveries, Futures
  • High degree of multitasking required in order to manage intricate product and risk situations simultaneously with client interactions.
  • Excel in a team environment as well as work independently.
  • Present a positive, professional image
  • Outstanding communication and analytical skills
  • Ability to discuss strategies to assist clients in making portfolio level decisions
  • Extensive experience in dealing with various market conditions and scenarios
  • Ability to apply market knowledge and experience holistically in various scenarios
  • Proven skills in relationship building, client focus, decision making, and problem solving
  • Ability to quickly produce clearly written, well-organized documentation
  • Able to quickly compute mathematical transactions with a high degree of accuracy
  • Series 7 (Registered Representative) and 63(State Securities Registration) or 66 required with registration in all 50 states.
  • Ability to operate Window’s based programs which require intermediate computer skills
  • Bachelor’s degree preferred
  • Military experience may be substituted in lieu of education and/or experience

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About TD Ameritrade.

A leader in brokerage and investment services for over 35 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and bolstering our capabilities, from a leading active trader program to intuitive long-term investment solutions and a national branch system. Combined with some of the industry's brightest minds, there's no limit to how big our accomplishments can be.

From first-time investors to sophisticated traders, TD Ameritrade is focused on helping individuals seek out their financial goals. And you're the ambassador to all that we do. Beginning with our trading platform and proprietary technology to our resolve to outperform, you'll maintain the high level of quality and integrity we're known for, each and every day. With the right opportunity, there's no limit to what you can accomplish.

As a leading employer in financial services, we believe in building strong relationships, achieving quality results and working with integrity. It's at the heart of everything we do. That's why we provide you with comprehensive training, benefits and programs that inspire you to achieve more every day. Apply to a TD Ameritrade job today and help our clients pursue their dreams, while you fulfill yours.

Applicants must be eligible to work in the U.S. Immigration sponsorship is typically not available for this position.

TD Ameritrade participates in the E-Verify program. For additional information on this program please click here. TD Ameritrade is an Equal Opportunity Employer. We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ:AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank.

© 2014 TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.

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