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Wealth Management Services Specialist

Quick Facts

Southlake, Texas ID# 2019-24627 Regular Full-Time First Level Professional


The Specialist 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 analysis of exceptions from the TDA back office system, research/resolution of issues with the BNY Surpas subaccounting vendor, analysis or troubleshooting of DTCC and Surpas file transmission issues, and testing/implementation of new technology enhancements.


The Specialist completes assignments in Trading, Dividends, Money Markets, Reconciliation, Cross Class Exchanges, and Security Master preferences that directly impact the Client/Advisor account. An analyst’s failure to interpret or analyze in a perfect manner leads to account attrition, client dissatisfaction, and/or liability for TDA.


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



  • 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


  • Series 7 & 63
  • High School Diploma or Equivalent
  • 1 to 3 years Brokerage Experience
  • 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.

© 2019 TD Ameritrade IP Company, Inc.

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All about growth.

By virtue of what we do, our world is filled with numbers. Here are just a few that we believe best describe TD Ameritrade at its finest.

  • 10,000 Full-time

    Graphic 2 people
  • 350+Branches
    in 49 States

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  • 18,380 Hours Volunteered to
    Community Programs in 2017

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