Sr. Manager - Active Trader ComplianceApply now
The primary responsibilities of the Sr. Manager of Active Trader Compliance, Futures and Forex implements an effective compliance program to preserve our reputation with the Trader business. Focus is Futures Commission Merchant (FCM) and Forex Dealer Member (FDM) trading and operations. This position utilizes advanced futures industry knowledge provides regulatory guidance, support and coordination to the Trader Group as they develop and deliver insight-rich and scalable trading products, services, content and education related to Futures and Forex to attract and engage TD Ameritrade clients.
The Sr. Manager will increase the level of compliance awareness to the Trader business by providing ongoing support and day-to day advice on compliance matters. This highly visible role will establish effective working relationships with the Trader Operations and Oversight Management division. This role will manage the Active Trader Compliance assisting team members as needed, providing meaningful feedback in evaluations, and motivating staff to ensure highest level of productivity on Compliance department goal and functional areas.
The Sr Manager will interact with Compliance senior management, Legal, and key business leaders regarding the completion of departmental objectives; and serve as source of feedback concerning clarity, appropriateness and effectiveness of policies and procedures, and recommend revisions to policies where appropriate. Focus of effort is on achieving and sustaining a high level of quality, accuracy and efficiency in the support and monitoring of the various areas listed above.
This position will also serve on a number of enterprise cross-functional teams (XFT), providing advisory guidance on new product initiatives, new services, and/or modifications to existing products and services. Position will requires working closely with the Compliance Regulatory Group and Internal Audit in support of internal and external exams and/or inquiries.
- Providing advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls relating to new products and/or services, risk management and changed is the regulatory environment.
- Responsible for day to day management of Active Trader Compliance supporting team on any Futures and Forex issues or questions as they arise
- Provide expertise and guidance to management and associates on applicable rules and regulations for Trader Groups:
- Active Trader Call Centers
- Trading and Operations (i.e. Futures, Forex)
- Work with internal and external business partners to develop and complete Risk & Control Self-Assessments (RCSAs) for program activities.
- Interface with the Surveillance and Oversight teams to review activity of business segments.
- Partner with the Compliance Regulatory Group and Legal in responding to regulatory inquiries and examinations for TDA related to the CFTC and NFA.
- Respond to business escalations as needed.
- Provide guidance and input on key regulatory policies and procedures for the Trader Groups (i.e. FCM, FDM,).
- Drafting, maintaining and enhancing relevant policies and procedures.
- Liaise with regulators when necessary.
- Assisting with the production of the annual CCO Report
- Supporting projects to implement regulatory and risk initiatives related to the futures/forex business through engagement wit multiple corporate oversight groups including, Legal, Corporate Risk and Supervision & Controls and services.
- 10 years industry experience, with 5 years futures/forex compliance and regulatory experience
- BA/BS Degree
- Strong working knowledge of Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), rules and regulations.
- Advanced futures industry knowledge.
- A proven track record in managing, developing and executing enterprise-wide initiatives that require cross business involvement and collaboration
- Ability to manage multiple priorities, assign appropriate resources, ensure quality, professional work and maintain high standards.
- Ability to work effectively in a team environment and manage workflow
- Strong communication skills, both written and verbal; strong listening, assessment, negotiating and analytical skills with the ability to make sound and practical decisions in a timely manner.
- Excellent attention to detail.
- Ability to evaluate current procedures and make recommendations for better compliance and business processing.
- Ability to influence business partners on policies and procedures
- Proficient in Microsoft Word, Excel, PowerPoint
- Military education or experience may be considered in lieu of civilian requirements listed
- Chicago, Illinois;
- ID# R-4335
- Full time
- Senior Manager
- Permanent Employee
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About TD Ameritrade
As a leader in brokerage and investment services for nearly 45 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and boosting our capabilities, from a leading active trader program to intuitive long-term investment solutions, and a national branch system. Combine that with some of the industry's brightest minds, and there's no limit to how big our accomplishments can be.
From first-time investors to sophisticated traders, our technology 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 that aims 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.
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