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Specialist, Institutional Supervisory Risk

Quick Facts

Jersey City, New Jersey, Omaha, Nebraska ID# 2017-12172 Regular Full-Time First Level Professional

Role:

This position serves as a liaison to TD Ameritrade Institutional (TDAI) and its business partners, as well as Compliance and Legal. This role will be responsible for providing guidance and support to TD Ameritrade Institutional businesses as well as supporting the supervisory functions of a centralized Office of Supervisory Jurisdiction for all Institutional business units.  The candidate will also maintain procedures and monitor adherence to TD Ameritrade Institutional department programs, with a focus on achieving and sustaining a high level of quality, accuracy and efficiency in the support and monitoring of the various business areas of TD Ameritrade Institutional.

Responsibilities:

  • Provide oversight to TD Ameritrade Institutional business units
  • Liaise with Compliance and Legal on new and existing rules
  • Assist in driving products impacted by rule changes
  • Work with TD Ameritrade Institutional business leaders on coordination and implementation of rules impacting their department(s)
  • Liaise with Institutional business units on Compliance  Audit examinations
  • Liaise with Corporate Compliance on policy initiative(s) that impact TD Ameritrade Institutional
  • Develop and maintain written supervisory procedures for TD Ameritrade Institutional
  • Partner with business units on developing desktop policy and procedures
  • Provide guidance and support to business units impacted by rule changes
  • Partner with business units on operational framework guidelines and liaise with legal and compliance on unique situations that challenge these guidelines
  • Provide interpretation and guidance on  rules and requirements to management (transition some lower level decisions from Corporate Compliance)

Requirements:

  • Experience working within a financial services organization or Registered Investment Advisor in a Compliance capacity
  • Must possess an understanding of Federal, State and SRO Rule’s
  • Ability to manage multiple priorities
  • Strong Communication skills
  • Ability to formulate and effectively communicate guidance and alternatives to business unit decision makers
  • Strong analytical and presentation skills
  • Some project management experience
  • Series 7, Series 24, Series 63
  • 2 to 3 years related experience and 4 to 6 years total experience
  • 4 Year College Degree preferred
  • 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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