TD Ameritrade is responsible for delivery of Regulatory and Required communications (100+). This requires monitoring the delivery of the communications, in depth knowledge of the genesis of the communication, reconciliation of delivery, auditing to ensure completeness and accuracy, troubleshooting failures, cross communication with business owners, technology resources, compliance, legal, business units, and various levels of management. The Sr. Specialist will be engaged with all new communications as well as the management (defined above) of all existing communications.
Stay abreast of business, technology, and regulatory changes that will affect the department.
Assists in determining Ops Correspondence and Recon strategy.
Act as a primary Subject Matter Expert (SME) on large/enterprise wide projects.
Represent the department on key project decisions for scope, requirements, timeline, or testing approvals. Ensures that the direction of the project matches that of the Design and strategy roadmaps that the position will create.
Bridge process, technology, compliance, and business gaps.
Partner with TDA system developers to design system changes to streamline processes and simplify system logic.
Meet regularly with TDA technical teams to review priorities, gather status updates, review upcoming releases, and understand obstacles.
Meet regularly with Compliance to review business changes and regulatory changes.
Translates Business requirements into technical requirements.
Identifies key opportunities for product redesign/enhancements to better meet the needs of TDA's clients.
Perform periodic audits of regulatory communications to verify all standards are being met.
The primary point of contact for business partners across the organization including Legal, Compliance, Marketing, and Technology. Serve as a single point of contact for the project management organizations.
Represent assigned Brokerage Operations departments in working groups and meetings with technology, institutional and retail partners.
Work with assigned Brokerage Operations departments at all levels to ensure issues are identified, reviewed, prioritized, and included in project requirements and changes as needed.
Provide updates to be used in high level management communications around Required and Regulatory communications items.
Coordinates changes with print vendors, third party print brokers, internal agile teams for required and regulatory communications.
Coordinates and leads the business requirement sessions to ensure understanding of business goals and business requirements.
Provides analysis and documentation to auditors or Regulatory bodies during audits/exams.
Lead/participate in problem solving sessions and track and lead solution implementation.
Liaise with business partners for resolution of client escalations.
Identify systems strengths/weaknesses and opportunities for improvements.
Build a library of documentation around Required and Regulatory communications.
Assists in troubleshooting complex issues in the production process.
Completes quality reviews on required and regulatory documents for content accuracy, formatting, and ensuring adherence to compliance, legal, and business unit requirements.
Assists in maintaining department procedures and standards of work
4 Year College Degree
4 Year College Degree preferred in Business or MIS Majors, but not required
3-5 Years related experience
5-7 years total experience
Proficient in Microsoft Office products with a strong working knowledge of Excel and PowerPoint.
Flexible and responsive to change.
Able to focus and perform under stress.
Works with high sense of urgency.
Deep Knowledge of Brokerage Operations critical functions, Policies and Procedures specific to TD Ameritrade including systems and client correspondence.
Strong Understanding of regulations that govern these processes and how changes in regulation affect the business
Effective written and communication skills accompanied by effective decision making.
Series 7 & 63 recommended
Military education or experience may be considered in lieu of civilian requirements listed