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Tax & Retirement Operations Representative

Quick Facts

Southlake, Texas ID# 2018-21313 Regular Full-Time Support Level


Tax and Retirement Operations serves as a differentiator in the brokerage industry by providing superior client service and accurate processing of information. This role requires high attention to detail, organizational skills and the ability to interpret and apply industry regulations and best practices to their various products. 
Associates will be responsible for the production of tax forms, proper withholding and remittance of funds to the state and federal government, timely escheatment of assets and compliance with IRS regulations as they relate to the tracking and reporting of cost basis and retirement contributions/distributions. 


  • Analyze client requests and apply applicable regulation and/or law to that request. May include but not limited to IRS, State and Federal Regulations, FINRA/SEC, and OCC. Analyze client transaction and account data to ensure risk mitigation for the client and TD Ameritrade.
  • Identify any red flags and/or high risk activity and report to the appropriate business partner.
  • Review and interpret daily reporting for account and client reconciliation and proper resolution
  • Research, analyze & implement new/updated regulations put forth by the IRS, various state revenue agencies and international governing bodies as they relate to tax reporting & withholding. 
  • Review and interpret daily reporting regarding the transfer of cost basis in and out of TDA in order to capture system irregularities or defects that limit our ability to remain in compliance with IRS regulations.  
  • Consistently research & review department procedures to ensure updates are made in accordance with updated/new IRS regulations or system enhancements 
  • Ensure prompt and accurate processing and recording of client transactional requests.
  • Ability to learn, retain and apply processes and procedures as well as system technologies in an efficient and effective manner. 
  • Ability to make efficient and risk based decisions on transactional requests.
  • Utilize various vendor and reconciliation systems throughout the year to correct and review client transaction and cost basis data to ensure accurate tax form production at year end.
  • Analyzing variances in processing to ensure consistent handling of exceptions.
  • Ability to work with internal and external business partners in order to ensure proper tax withholding and remittance of funds to the state/ federal government, accurate cost basis reporting and timely escheatment of assets.
  • Work across various internal and third party systems to research, review and resolve various client inquiries related to the tracking and reporting of cost basis.
  • Communicate with clients, business partners and advisors on a daily basis regarding ongoing inquiries related to tax reporting and retirement account issues.  
  • Leverage Lean Principles to identify inefficiencies in existing processes. 
  • Actively participate in Problem Solving sessions to ensure proper resolution.
  • Work with business partners to ensure upstream and downstream impacts.
  • Participate in department pillars meant to facilitate department communication, associate engagement and tax training and development.
  • Ability to collaborate and build relationships with our business partners and peers
  • Liaise with business partners for resolution of client escalations and research cases regarding GainsKeeper and other cost basis inquiries. 
  • Ability to effectively communicate through various channels (Email, Phone, Instant Message, Presenting/Meetings).
  • Willingness to work with external firms or business partners in an effort to apply best practices as they relate to tax reporting (abandoned property, 990-T processing, DTC/transfer of cost basis, etc.). 
  • Ability to handle complex tax and retirement account related inquiries from clients, both internal and external, that require research of IRS publications and security specific reporting requirements (complex debt, 1256 options, original issue discount, etc.)
  • Review & process client requests for adjustments and updates to their cost basis for reporting purposes 


  • School Diploma or Equivalent
  • 4 Year College Degree in Business/Finance Preferred
  • 0-2 years related experience
  • Military education or experience may be considered in lieu of civilian requirements listed
  • Ability to analyze, interpret and implement complex IRS regulations and requirements as they relate to the brokerage industry and relay this information to the client as needed.
  • Communicate complex IRS rules and regulations with thoroughness and clarity to clients and various business partners.     
  • Series 7 & 63 (preferred) 

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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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