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Asset Clearing Services - Transfers

Quick Facts

Omaha, Nebraska ID# 2019-22738 Regular Full-Time Support Level

Role:

An innovative culture has long been part of TD Ameritrade. Our clients are at the heart of everything we do, and we transform our business so that they can achieve success.  We are enablers… for our clients, for each other, and for the communities where we live and work. We build a culture that reflects our core values, fosters collaboration and courage, and allows us to execute and innovate as a team.  TD Ameritrade Brokerage Operations is looking for problem solvers, critical thinkers, and team players who want to be energized, developed, and rewarded.

 

The Representative for Asset Clearing Services:

  • Responsible for reviewing, validation and submission of transfers submitted through the Automated Customer Account Transfers System (ACATS) and the validation and submission of internal transfers
  • Review daily reports and compare them to account activity to determine if any business partner resolution is needed
  • Review and interpret Anti-Money Laundering practices and FINRA rules (FINRA Rule 11870)
  • Verify client data that would preclude the transfer from occurring
  • Move large sums of monies and/or securities out of the firm, to the tune of an aggregate average value of approximately $65 million daily
  • Communicate via email or phone call to resolve transfer issues and inquires with contra parties.

Responsibilities:

  • Validation of ACATS transfers on the ACATS systems
  • Validation and submission of internal transfers (i.e. the movement of cash and/ or securities between accounts within TD Ameritrade)
  • Process written and electronic client transfer requests to ensure proper completion of the transfer form by an authorized account holder. This includes signature verification and a full account review.
  • Interpret written and Electronic Transfer Requests to determine eligibility of the transfer request based on industry rules & regulations and business rules to mitigate and reduce risk to the firm and our clients
  • Review and interpretation of FINRA transfer rules (Rule 11870)
  • Calculate transfer values to determine level of approval required to satisfy appropriate department supervisory procedures
  • Analyze daily reports and compare them to account activity to determine if any business partner resolution is needed
  • Resolve issues ranging in scope while working with fellow peers to develop suitable solutions
  • Question and challenge processes to promote continuous improvement
  • Outbound phone calls to contra parties
  • Inbound phone queue taking calls from third parties, clients, and internal

Requirements:

  • Settlements and/or cage experience preferred
  • Understanding of FINRA regulations, especially FINRA Rule 11870 preferred
  • Ability to learn, retain and apply new information and skills in an efficient and effective manner
  • Consistently remains solution focused and responsive to coaching.
  • Series 7 & 63 preferred
  • High School Diploma or Equivalent
  • 4 Year College Degree in Finance, Economics, and/or Business preferred.
  • Prior financial services and customer service experience preferred.
  • 1+ years of ACATS and Non-ACATS transfers knowledge preferred
  • Military education or experience may be considered in lieu of civilian requirements 

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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.

© 2019 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.

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