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Representative, Wealth Management Services

Quick Facts

Southlake, Texas ID# 2018-14746 Regular Full-Time Support Level


The representative in Wealth Management Services is responsible for key deliverables to internal and external clients/advisors/regulators on a daily basis. The key deliverables include but are not limited to reconciliation of back office system, BNY SuRPAS, and fund company books and records.  Process and Settle Money Markets, processing and resolving Transfers Issues  and implementation of new processes/system changes.


The complexity of this role is the myriad and depth of regulations, client/advisor expectations, system interactions and limitations, fund specific rules, high volumes, and reconciliation across multiple books.


Reps are skilled in interpreting and processing proprietary money market sweeps and have a clear understanding of TDAs role as a Transfer Agent. They must also Interpret and operate within special agreements with Fund companies, Clients, or Advisors. The breadth and cross functional requirements across multiple processes is unique, and the Rep is required to have a working knowledge of all facets of the department not just a single specialty.


Reps are responsible for more than 5 million ledgers and are directly correlated to $125 million plus in profit to the firm when successfully processed.


This role is predictable 75% of the time. The daily processes and procedures can change, but not often.  Some things that can be unexpected are System Issues, Vendor Processing or System Issues, , Regulatory change, Upstream/Downstream process change.


Reps have daily and critical interaction with Institutional, Retail, Government Reporting, Security Master, Transfers, Operations Control, Technology, Operations Strategy, and Finance. An example would be the Rep processes transactions and reconciles Back Office System to SurPAS, DTCC, and the Fund. This reconciliation feeds regulatory reporting for Operations Control and Finance. The Rep partners to identify solutions.


This role interacts with external clients primarily through transaction processing or an intermediary answering client calls/emails. The role directly interacts and manages day to day relationships with Fund companies, BNY, DTCC, contra firms, Broadridge, and Sweep Money Market providers.


  • Processing
    • Money Market movements – purchase or redeem
    • Dividend Reinvest or cash
    • Cross Class Exchanges
    • Transfers outside of the ACATs system –Internal and External     
    • Mutual Fund cleanup and Fail Reversal in the ACATs system
    • Daily Transfer agency duties for TD Ameritrade Cash and Money Market products
    • Daily Settlement Files, Fed Wires, Fee Payments, Rebates for CDSC and STR fees
  • Analysis
    • Fund specific rules (Example: Fund minimums)
    • Client/Advisor level exemptions (Example: STR waivers)
    • Regulatory obligations (Examples: Blue Sky reporting and 15C3-3)
    • Reconciliation of Trade, Dividend, and Transfer Breaks
    • Reconciliation across BOS, SuRPAS, and Fund Companies
    • Review and interpretation of proper tax coding and corrections of tax coding for Mutual Funds transactions
  • Problem Solving
    • Internal/External system enhancements or issues
    • Root cause of breaks between TDA, the Fund, DTCC, Surpas, etc.
    • Providing process or technology solution options to Management
    • Remediating transfer issues with the Fund or Contra Firm
  • Client or Business Partner Service
    • Answering business partner inquiries regarding Fund specific requirements/eligibility
    • Providing follow up on Mutual Fund transfers to expedite the client request or remediate NIGO type issues
    • Timely and accurate completion of client trading and dividend requests


  • High School Diploma or Equivalent
  • 4 Year College Degree in Finance or related major preferred
  • Series 7 upon hire (limited exceptions)
  • Series 63 upon hire (limited exceptions)
  • 1 to 3 years Brokerage Industry experience preferred
  • 3 to 5 years of general work experience preferred
  • Ability to learn, retain and apply new information and skills in an efficient and effective manner.
  • Ability to apply analytical skills for effective problem solving towards the goal of continuous improvement.
  • Ability to collaborate within and across teams.
  • Communicates with thoroughness and clarity in an honest and transparent manner.
  • Flexible and responsive to change.
  • Able to focus and perform under stress.
  • Works with high sense of urgency.
  • Displays resiliency when facing challenges.
  • Consistently displays professionalism and composure across all circumstances, environments and personnel.
  • Participates in meetings in an engaged and positive manner.
  • Displays respect for the dignity and opinions of others.
  • Consistently assumes positive intent relative to peers and business partners.
  • Consistently remains solution and progress-focused.
  • Consistently open and responsive to coaching.
  • Recognizes own performance improvement opportunities and strives to develop knowledge and skills.
  • Industry Knowledge
    • Working knowledge of DTCC, BNY, and Fund specific processes. (required)
    • Working understanding of difference between level 3 and Omni platform processing. (required)
    • Understanding of proper Possession and Control requirements as laid out by FINRA and the SEC (15c3-3). (required)
    • Working understanding of FINRA and SEC rules. (required)
  • Processing Knowledge
    • Knowledge in processing dividends, transfers, money market transactions, and reconciliation across multiple systems and vendor platforms.  (preferred)
    • Understanding of impacts of Mutual Funds specific processes to Clients, Advisors, Business Partners, and Regulators. (required)
  • Systems Knowledge/Skills
    • Working knowledge of:  Back Office Systems, Order Management Systems, Client Facing Websites, Workflow Systems, Cisco Telephony, BNY Surpas, DTCC, and Fund company systems.  (required)
  • 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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