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Retail Supervision Principal

Quick Facts

St. Louis, Missouri, Omaha, Nebraska ID# 2017-13364 Regular Full-Time Manager

Role:

This role  has the responsibility to identify risk within the broker dealer, provide the necessary supervisory and oversight capabilities that will mitigate these risk while fostering  teamwork to ensure a consistent message is delivered  to our business partners. 

Additionally, this role  has an obligation to have a thorough understanding of the regulatory rules, risk identification metrics , and the supervisory tasks that align the supported business units  to our corporate goals, while maintaining integrity to our clients.

In addition, this individual will ensure adherence to all policies and procedures (internal and external) as well as have the foresight to differentiate risks and sales practice concerns that the SRO’s have deemed important, including  executing on the day to day operational risk and supervisory activities that cultivate a culture progress.

Responsibilities:

  • Supervisory responsibility and oversight of day to day risk mitigation processes for the supported business group.
  • Supervisory responsibility to business unit management to ensure sales practice and operational risks are mitigated.    
  • Ensure policies and procedures are created and then enforced
  • Regulatory adherence and client protection
  • Provides assistance and support to management related to sales practice or transactional risk items as well as disciplinary matters.
  • Acts as subject matter expert for regulatory issues. sales products, and division specific inquiries
  • Create reporting and trending mechanisms to alert Business Unit Management of risk items, and solutions for mitigating identified risks and supervision gaps.
  • Design and implement a reporting mechanism that will  potentially detect and deter manipulative and prohibitive behavior regarding sales practice issues
  • Creates business unit support through open communication and scheduled meetings to create a conduit between Compliance, Risk Management, Audit, and the Business.
  • Serves as a subject matter expert on cross functional teams for initiatives supporting the business unit
  • Establish and maintain strong relationships with all layers of management within the business unit, which may include onsite visits, attendance in staff meetings, or regularly scheduled one-on-one meetings

Requirements:

  • Working knowledge of business operations
  • Risk Management knowledge
  • Futures/Forex product knowledge
  • 4 year College Degree
  • 3-8 years experience
  • S7 and S24 required. May have S9 & S10 in lieu of the S24.
  • S3, S34, S63 & 65 or S66 may be required
  • Military experience may be substituted in lieu of education and/or experience

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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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