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Correspondence Review Specialist

Quick Facts

San Diego, California ID# 2017-11406 Regular Full-Time First Level Professional

Role:

Review all incoming documentation to the Institutional Services division, in line with FINRA requirements requiring approval by an authorized firm principal. Subject matter expert related to the regulatory requirements needed for a variety of services and transactions.

Responsibilities:

  • Review documentation to ensure that it is compliant to company procedures and the rules and regulations of the securities industry
  • When necessary, compose written assessments that clearly and concisely convey deficiencies, additional requirements, and/or provide solutions or alternatives for resolving client issues of varying complexity
  • Recognize potential problems and high risk accounts and escalate them accordingly
  • Research, resolve and follow-up on applicable transfers, cash movements, document restrictions on accounts and release restrictions when issues are resolved
  • Analyze all paperwork received, document and notify clients of pending issues, work closely with clients for resolution, and accurately process accounts, as they are resolved
  • Keep current with industry regulations, company policies, & Institutional products/services to effectively enforce compliance and manage risk
  • Serve as a subject matter expert to 2 or more back office specialty areas  and perform basic functions in all areas

Requirements:

  • 2-3 years related experience
  • 3+ years total experience
  • Military education or experience may be considered in lieu of civilian requirements listed
  • Minimum of 2+ years of Operations or Advisor Services experience required
  • Proficiency in Microsoft Word, Excel and Outlook required
  • Mastery experience in 1  back/middle office function (cash management, Transfers, New Accounts) required
  • Research and resolution experience preferred
  • Series 7 and 63 (or equivalent) required, Series 24 preferred or must be able to obtain within 90 days
  • 2 Year College Degree required
  • 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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