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Specialist, Operations Document Delivery

Quick Facts

St. Louis, Missouri, Omaha, Nebraska ID# 2017-12629 Regular Full-Time First Level Professional

Role:

Are you ready to join a team of enablers, where saying yes to our clients is at the heart of everything we do? Are you ready to be part of a team where being better is our norm? Do you thrive in an environment where collaboration, courage and innovation are woven into the DNA of the culture?  Do you want to be developed and rewarded? We are TD Ameritrade Brokerage Operations and we are enablers…for our clients, for each other, and for the communities where we live and work. If you are ready to take your career to the next level then we are looking for you, too. 

The Specialist, Ops Doc Delivery is focused on all regulatory documents and is the main vendor relationship manager for Broadridge.  The Specialist, Ops Doc Delivery is the SME for Document Delivery and works directly with BOS and DDS, as well as other departments to make sure the statements, confirmations, tax documents and proxy/prospectus files are in good order.  The associate will reach out to the print vendor with approvals, concerns and issues.  This associate is required to be a good problem solver and will make decisions regarding process improvement and day to day processes.  

The day to day for this position is standard SME, but also includes ideation and process improvement. Primary responsibilities are analyzing current processes to update them so that we are in compliance, monitoring vendor activities, project management, and answering questions from both the team and other internal departments.

Responsibilities:

  • Complete daily work reviewing multiple outlook inboxes.
  • Assist with monitoring work completed by team, BOS, DDS and vendors to ensure regulations are being met.
  • Manually track documents for all print and mail vendors to validate compliance adherence.
  • Educate and guide organizations throughout the company and their departments in understanding Ops Doc Delivery policies and procedures.
  • Be the SME for any projects to enhance any or all of the documents the team is responsible for,  this includes some project management.
  • Consistently research ideas for process improvement to existing documents and procedures.
  • Assisting team members in maintaining understanding of policies and procedures, and related updates and revisions.
  • Providing input and recommendations for process improvement relative to current policy and procedures
  • Create process improvement and implement LEAN initiatives (huddles, problem solving sessions, sit-withs, etc…) throughout the organization.
  • Role modeling TD Ameritrade's Core Values and the Six Leadership Traits; Makes an Impact, Displays Excellent Judgment, Builds Effective Teams, Shows Managerial Courage, Motivates and Develops Others & Inspires the Will to Win
  • Lead and manage the establishment of vendor guidelines and practices
  • Assist team and manager with compliance regarding TD Ameritrade policies and procedures.
  • Assist team and manager with the planning, testing, execution, quality control and cost management of regulatory-related customer information.
  • Assist with all applicable audits and reviews including but not limited to SRM’s SIG, SSAE16, E&Y, Internal audit, SEC audits and FINRA audits.
  • Conduct the quarterly Internal Control Assessment Program (ICAP) testing and certification for the Operations Document Delivery Team.
  • Maintain knowledge and awareness of current industry tendencies and keep abreast of new regulations that may affect the Company
  • SME reviewing and monitoring department projects.  The subject matter expert  for large and small scale projects.
  • Research and respond to production and/or project related inquiries; expedite problem resolution as needed.
  • Serve as the subject matter expert and initial point of contact Operations Document Delivery.

Requirements:

  • Industry Knowledge preferred
  • Statement, confirmation, tax and proxy experience
  • Vendor Management experience (including Statement of Work, Invoicing, and Contract Review)
  • Process Improvement Experience (Lean)
  • Must demonstrate appropriate analytical skills and attention to detail
  • Self-starter who requires little guidance
  • Project management experience a plus.
  • Ability to make sound business decisions and enforce company policies in accordance with applicable regulations and procedures
  • Strong communicator (written and verbal), able to effectively interact and coordinate with other departments, vendors and business units
  • High School Diploma or Equivalent required
  • Bachelor’s Degree preferred (Business/Finance preferred)
  • Advanced MS Excel, Visio and PowerPoint skills and proficient in MS Access required.

 

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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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