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Sr Manager Active Trader Compliance

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Chicago, Illinois ID# 2017-12678 Regular Full-Time Senior Manager


The Sr. Manager of Active Trader Compliance implements an effective compliance program to preserve our reputation with the Trader business.  Focus is on options, active trader call centers, Futures Commission Merchant (FCM) and Forex Dealer Member (FDM) trading and operations. This position utilizes advanced securities and 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 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 require  direct involvement in the management of regulatory inquiries, investigations and examinations by both federal and state regulators.


  • Thoroughly research and effectively communicate sound advice related to existing Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), National Futures Association (NFA) and Self-Regulatory Organization (SRO) rules and regulations.
  • Responsible for day to day management of Active Trader Compliance supporting team on any 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. Options, 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 Legal and other areas of Compliance in responding to regulatory inquiries and examinations for TDA, with an emphasis on 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, Broker Dealer).
  • Draft and maintain Trader Group policies and procedures via Written Supervisory Procedures (WSPs)
  • Create, develop, and deliver relevant regulatory compliance training to Trader business unit associates (as appropriate).
  • Create tests as necessary.
  • Coordinate with other Compliance units and Legal to address and respond to any regulatory inquiries, specifically as it relates to the Active Trader business units.
  • Insure regulatory requests are monitored to spot trends and patterns.
  • Liaise with regulators when necessary.  
  • Interact with NFA auditors during the examination, maintaining a stellar reputation with all regulators.
  • Prepares and delivers the CCO Report on an annual basis for certification.
  • Insure all applicable rules are certified.
  • Create tests as necessary
  • Partner with the business segments and other areas on cross-functional teams and projects to support business growth, new products and new services
  • Partner with same groups to update and improve existing products and services
  • Insure new rules are embedded into the compliance program.
  • Enhance Futures Trading Surveillance.
  • Responsible for projects impacting Active Trader Compliance, reporting to Directors and key business leaders
  • Lead Compliance team member to work with cross-functional teams in relation to new Active Trader initiatives
  • Representing Active Trader Compliance on various cross functional project teams


  • Strong working knowledge of Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and market center rules and regulations relating to  FCMs, FDM’s, CTOs, investment advisors and broker/dealers.
  • Advanced securities and 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
  • Experience managing manage a team, providing guidance, training and regular interaction which could include remote and/or in multiple locations
  • 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
  • Ability to travel up to 20% of time.
  • Proficient in Microsoft Word, Excel, PowerPoint
  • BA/BS Degree
  • 7-10 years experience; 10-15 total experience
  • Series 3 required at time of hire 
  • Military education or experience may be considered in lieu of civilian requirements listed

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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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