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At TD Ameritrade, the health and safety of our employees and candidates is our highest priority, and we have recently transitioned the majority of our employees to working from home. While we are still actively recruiting, due to the current situation related to the Coronavirus (COVID-19), we have made some critical changes to our recruiting process that eliminates the need for any face to face contact. As your application progresses, you can expect interviews to be conducted either on the phone or via video conference. Our Talent Acquisition Partners will guide you throughout the interview process and will be on hand to answer any questions you might have.

Sr. Manager - Active Trader Compliance

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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.



Responsibilities:

  • 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
    • FCM
    • FDM
    • 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.

Requirements:

  • 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
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Quick Facts

  • 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.

TD Ameritrade participates in the E-Verify program. For additional information on this program please click here.

Coming together to better serve our clients

TD Ameritrade and Charles Schwab are now part of one company with a shared vision. Harnessing our combined strength, we are building a firm with an entrepreneurial spirit and the resources of a large financial services institution committed to serving investors of all sizes.

Together, we will have:

  • Greater scale, which enables us to serve a broad range of clients at lower costs
  • World-class services and solutions backed by our commitment to provide secure and stable systems
  • The industry’s most talented team, all united by an unwavering commitment to clients and a shared heritage of innovation

We expect the integration to take between 18-36 months. Until then, TD Ameritrade and Schwab will continue to operate as two separate broker-dealers and custodians.

Both TD Ameritrade and Schwab have been consistently recognized as best places to work.
The combined company will carry on this heritage, offering opportunities for you to build and grow a meaningful career.

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