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Banking & Retirement Ops Manager

Quick Facts

Omaha, Nebraska ID# 2018-14219 Regular Full-Time Manager

Role:

Role:

Banking and Retirement Operations is the core of all monetary transactions completed at TD Ameritrade. This role is responsible for the monitoring, oversight and escalation review of the processing, analyzing and coding of monetary transactions in and out of TD Ameritrade. It requires a high level of organization, attention to detail, as well as regulatory knowledge within the brokerage, retirement and federal banking industry. This includes but not limited to IRS, State and Federal banking and brokerage regulations, Tax, FINRA/SEC, and OCC. 

This role is responsible for establishing and monitoring internal risk controls in regards to banking and retirement operations to minimize financial, reputational, and legal risk to TD Ameritrade.

In addition, the Team Manager is responsible for ensuring proper communication between internal and external clients are being handled and executed appropriately.

This role is responsible for upholding the Core Values and Standards of TD Ameritrade. 

 

Responsibilities:

Responsibilities:

  • Daily prioritization of tasks, processes, and procedures are complete and accurate
  • Address errors or corrections and communicate remediation plans to impacted parties
  • Recognizes the importance of quality when providing service to clients and partners
  • Ensure daily processes and procedures are complete and accurate
  • Responsible for continuous reviewing and modifying operational procedures to mitigate risk and enhance efficiencies.
  • Oversee, manage and conduct WSP and ICAP testing. Make recommendations for deficiencies and areas of concern as well as ensure proper remediation takes place. 
  • Leads a productive and stimulating daily Team Huddle and Problem solving sessions focused on team engagement to encourage creative solutions focused on improving the experience of the client, partners, and associate.
  • Conduct team meetings, and one on ones to cultivate team collaboration, best practice sharing, areas of concern and success stories.
  • Promote and advocate for employee development through coaching and career planning for direct reports and peers.
  • Promotes a culture focused on providing a better client experience by continuously identifying opportunities to improve policies, methods of processing, and procedures.
  • Utilizing tools introduced LEAN and Agile to engage the teams in the Better Way
  • Ability to build relationships enabling engagement across multiple business units focused on benefiting the client, partner, or associate experience
  • Identify client or partner pain points and implements solutions focused on improving the client, partner, or associate experience
  • Ability to balance client needs with risk on escalated issues
  • Review, analyze and interpret trends within Banking and Retirement Operations. Modify or create procedures, policies, and controls to ensure firm is balancing risk with business needs.
  • Provide analysis and documentation to auditors or Regulatory bodies during audits/exams
  • Identify Regulatory sensitivity and work with Legal and Compliance to interpret the rules and ensure adherence
  • Ensure that Departmental process and procedures are aligned with regulatory requirements

Requirements:

Requirements:

Leadership Skills & Experience

  • Advanced knowledge in within the brokerage, retirement and federal banking industry. (Preferred)
  • High level of organization and attention to detail.
  • Demonstrated ability to lead a team and manage various tasks, projects or client needs.
  • Strong interpersonal communication skills in order to deliver consistent feedback, coaching and support to associates.
  • Ability to be flexible and responsive to change while managing its impact to others.
  • Works with a high sense of urgency and displays resiliency when faced with challenges
  • Ability to collaborate within and across teams, departments and business units.
  • Consistently open and responsive to coaching, professional development and performance improvement.
  • Strong written and verbal communication skills as they relate to clients, associates and various internal/external business partners
  • Ability to learn, retain and apply new information and skills in an efficient and effective manner
  • Expert knowledge and the ability to coach associates on Back Office & Order Management Systems, Client Facing Websites, Workflow Systems, Cisco Telephony, DTCC, Access, Excel, Outlook, Word, People Management Systems (i.e Peoplesoft), PBS, Broadridge ICS Portal, CBRS, GainsKeeper, Wall Street Concepts and Intellimatch. (required)
  • Series 7, 63 & 24 (Required)
  • 4 year college degree, 2-4 years related experience

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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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