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Asset Clearing Services Representative

Quick Facts

Omaha, Nebraska ID# 2018-21233 Regular Full-Time Support Level

Role:

The Asset Clearing Services Rep acts as a liaison between our clients, as well as various third parties, by clearly and succinctly explaining complex regulations to the end client. In addition, it will be expected of the Rep to properly execute on a client’s affiliation/insider status, communicate information, and ensure the accounts are properly noted. An Asset Clearing Rep will assist Retail, Institutional, the Branch Network, and departments within Brokerage Operations, and is the Initial point of contact for Cage issues.

Responsibilities:

  • Placing restricted stock trades and prospectus sales
  • Assist processing team in obtaining needed documentation to grant extensions to the buy-back rule
  • Processing of DRS Transfers, Stock Certificate deposits/withdrawals and KANA inquiries between calls
  • Advocate for the clients best interest while balancing risk to the firm
  • Provide information to assist representatives with Cage inquiries
  • Work to trouble shoot processing issues related to DRS processing
  • Work with issuers legal counsel to ensure documentation is in good order prior to placing trades
  • Discuss procedures associated with Restricted Stock trading and transaction processing
  • Work to grant extensions provided by FINRA under Restricted Stock Clearance rules
  • Active participation in Problem Solving Sessions
  • Point of contact for client inquiries
  • Outbound calls to clients regarding necessary paperwork to complete deposits, enable trades/removing of restricted legends
  • Trade within SEC guidelines and occasionally buy clients in if the necessary paperwork is not submitted

Requirements:

  • Ability to understand and apply Securities rules and regulations
  • Knowledge and understanding of the Direct Registration Statement (DRS) system, Restricted Stock Regulations, DTCC deposit systems, preferred
  • Previous Securities background and trading, preferred
  • Ability to apply analytical skills for effective problem solving towards the goal of continuous improvement.
  • 7 and 63 within 6 months
  • 2 Year College Degree or equivalent experience
  • 4 Year College Degree Business/Finance-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.

© 2018 TD Ameritrade IP Company, Inc.

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By virtue of what we do, our world is filled with numbers. Here are just a few that we believe best describe TD Ameritrade at its finest.

  • 10,000 Full-time
    Employees

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  • 18,380 Hours Volunteered to
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