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Specialist, Retirement Plan Services Regulatory Reporting

Quick Facts

Denver, Colorado ID# 2017-13496 Regular Full-Time First Level Professional


The Regulatory Specialist reports directly to the Sr. Manager of Regulatory Reporting.  Assists with regulatory reporting to federal and state agencies as well as recipient tax reporting; 1099 web presentment coordination; 5500 series reporting for TDATC’s Collective Investment Funds and ensures completion within the guidelines of the DOL and EBSA regulations.  Assists with processing OFAC, CIP and FinCEN 314(a) verifications.  Administration of Paying Agent Services including process periodic disbursement and reporting/statements.  Also assists with record maintenance and processing of recurring disbursements for plans on the TD Ameritrade Trust Custody platform.  Supports the Revenue Management and Client Invoicing teams with posting of fund company revenue and client invoice payments.


  • Assists with accurate and timely filing of states reporting regulations on a monthly/quarterly/annual basis
  • Assists with completion of all federal filing including import of tax files into the tax reporting software; coordinate with the business unit for export of required data from the trust systems; assist with the completion of Annual Form 945 and Form 1042
  • Coordinate with Treasury Operations for the ongoing deposits of federal and state withholding.  Assist with reconciliation of all withholding accounts on a daily/monthly basis
  • Assists with updates/changes and processing Paying Agent Services distribution as well as periodic payments required for plans held on the TDATC custody platform.  Also maintains dedicated client relationships with Advisors/TPA Record-keepers
  • Responsible for Paying Agent Services statements/check registers and coordination with vendor for web presentment of annual Form 1099-Rs
  • Assists with OFAC and CIP processing for TD Ameritrade Trust Company for new clients and disbursement on a daily basis as well as all established accounts on a quarterly basis
  • Assists with completion of annual Form 5500s for the Trust Company’s Collective Investment Funds
  • May also serve as a back-up for the Billing Specialist


  • Possess practical knowledge of retirement plan tax reporting rules; particularly contributions and distributions
  • Must be able to think creatively and work in a changing environment
  • Possesses knowledge of the retirement plan industry
  • Excellent Customer Service Skills
  • Possess knowledge of Form 5500 preparation and submission requirements
  • Must be able to solve diverse problems using strong analytic skills where limited precedents or guidelines exist
  • Highly organized, detail-oriented, and capable of handling multiple tasks simultaneously
  • Works well independently or as part of a team
  • Flexible and able to change priorities quickly
  • Well organized and able to handle a variety of projects simultaneously
  • Excellent interpersonal skills and ability to work with others
  • General knowledge of office equipment operation
  • Strong PC skills, including advanced Excel and use of spreadsheets
  • Continuing education in the retirement plan and tax reporting fields is expected
  • 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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