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Institutional Trading Specialist

Quick Facts

Southlake, Texas ID# 2018-18727 Regular Full-Time First Level Professional


Service all department related issues for advisors and their clients
In this role the associate will be expected to build upon existing relationships with our Registered Investment Advisors, vendors, and internal business partners on a regular basis
The Trading Specialist works closely with RIA’s via phone, email and fax
Process and support of tasks such as: placing and relaying equity not held orders, placing large and complex mutual fund and option trades, processing large trade allocations, processing systematic purchases and redemptions, large and complex trade corrections, taking advisor escalations,  and other various duties as assigned by the Team Manager or Senior Manager
The Trading Specialist will be expected to resolve advisor issues promptly and efficiently while at the same time mitigating advisor and firm risk
The associate will be expected to act as the subject matter expert in their area of responsibility with respect to trading mechanics and the securities markets in general


  • Accurately and efficiently enter large and complex equity, option, and mutual fund orders in advisor-directed brokerage accounts received via phone, fax, or email
  • Work directly with market makers and exchanges in effort to ensure best execution on “not held” orders, directed trades, ETF creations/redemptions, and foreign market trades
  • Responsible for the on-boarding and ongoing training of Institutional traders through a structured training program
  • Assist team manager with leadership responsibilities including call evaluations, advisor escalations, approval of correspondence, delegation of daily work items, and Desktop Procedure refreshes
  • Asses risk and process highly complex trade error corrections involving multiple client accounts and securities
  • Responsible for being a liaison between the advisor, clearing, and fund companies with regard to special mutual fund requests such as taxable and non-taxable exchanges
  • Works closely with Team Manager and Senior Manager on large projects such as conversions, platform enhancements, and new product implementations
  • Process foreign and not held trades for advisors and work with market centers to ensure quality executions are processed in a timely fashion
  • Educate Advisors on available alternate execution  methods
  • Handle/place complex, high dollar equity, option, and mutual fund transactions quickly and with a high degree of accuracy


  • 3 to 5 years related experience
  • 5 to 7 years total experience
  • Extensive knowledge of risk management with ability to identify and asses market risk associated with large and complex orders
  • Strong knowledge of securities regulations, basic corporate actions, market mechanics, and general securities markets
  • Experience trading equities, options, and mutual funds is required
  • Series 7 and 63
  • 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.

© 2018 TD Ameritrade IP Company, Inc.

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