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Specialist, Institutional Prime Brokerage

Quick Facts

Southlake, Texas ID# 2018-15346 Regular Full-Time First Level Professional


Prime Brokerage is a service provided to independent RIA’s who may execute trades at external broker/dealers for accounts managed and held at TDA. Prime Brokerage Specialists are the primary point of contact for Advisor’s using the service and focuses on the processing of post-trade instructions, resolving settlement issues, setting up new executing broker relationships and other RIA related issues.


  • Learn the Prime Brokerage, Trade Away, DVP and Asset Based Pricing services.
  • Guide advisors through the process of establishing and using Prime Brokerage at TDA including detailed walkthroughs of the enrollment and trade submission processes.
  • Receive and process advisor post trade instructions and provide support as needed.
  • Interface with DTC and Bloomberg to confirm trade details provided by RIA’s are correct.
  • Detect incorrect trade instructions and resolve discrepancies.
  • Respond to, research and collaborate with RIA’s, Introducing Brokers and TDA Clearing settlements team to resolve settlement discrepancies.
  • Process Advisor requests for new executing broker relationships.
  • Coordinate and maintain strong relationship with Advisors, TD Ameritrade Clearing, external executing brokers and other business partners.
  • Identify and balance the needs of multiple parties.
  • Seek clarification when necessary to ensure that advisor intentions are clearly understood.
  • Anticipate obstacles and prepare for specific opportunities or problems that may require additional attention and or resources to address or resolve.
  • Support department objectives through personal initiative, professionalism and effective teamwork.
  • Respond to ABP billing inquiries from Advisors or internal business partners in a timely fashion.
  • Work with IBS Sales to set up or modify ABP billing plans as needed.
  • Effectively prioritize issues and tasks and follow-up on all open items while being focused at all times.
  • Monitors internal and external, individual and team Email accounts, work queues and logs for incoming work.


  • 2 Year College Degree required
  • 4 Year College Degree preferred
  • Military education or experience may be considered in lieu of civilian requirements
  • 1-2 years of Financial Services industry or trading experience
  • Series 7 & 63 preferred or must be able to obtain within 90 days
  • Outstanding communication and listening skills
  • Proficiency in Microsoft Excel and Outlook required
  • The ability to work independently with a high degree of quality and accuracy
  • Settlements, Trading or Fixed Income experience preferred
  • Able to process work with excellent accuracy

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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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