Trade Operations Support Specialist

TD; Hartford (CT); On-site; USD 72,000 - 108,000; Full time

Job summary

TD Wealth in Hartford, CT seeks a Trade Operations Support Specialist to review, release, or escalate live orders, execute trades and file required regulatory reports. The role supports advisors with trading operations and ensures regulatory compliance.

The ideal candidate has an undergraduate degree or substantial related experience, 3+ years in the industry, and FINRA Series 7 and 24 licenses. This is a full-time, on-site position with growth opportunities within TD Wealth.

Qualifications

• Undergraduate degree preferred; candidates with substantial related experience will be considered.
• 3+ years of industry experience.
• FINRA licenses Series 7 and 24 are desirable or required depending on role specifics.

Responsibilities

• Collaborates with the manager to develop trading rules and configure NetX360 settings to support business objectives.
• Executes trades accurately and ensures timely regulatory and operational reporting.
• Reviews flagged live orders, releasing them for execution or escalating issues to ensure risk management and compliance.
• Provides proactive support to advisors on trading systems, processes, and best practices.
• Assists advisors with complex trading activities, including block trades and restricted securities.
• Manages brokerage trade corrections, ensuring prompt resolution and minimal client impact.
• Responds to inquiries and follows up on debit margin matters, maintaining high client service standards.
• Assists in preparing reports and analyses to meet internal and regulatory requirements.
• Identifies, investigates and resolves trade errors to minimize financial exposure and prevent recurrence.

Skills

Trading operations

Regulatory reporting

Client support

Risk management

Education

Bachelor's degree or equivalent

3+ years industry experience

FINRA Series 7 & 24

Job description

Work Location

Hartford, Connecticut, United States of America

Hours

40

Pay Details

$72,280 - $108,160 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line Of Business

TD Wealth

Job Description

The Trade Operations Support Specialist is responsible for reviewing releasing or escalating flagged live orders, executing trades and filing required regulatory reports; and assisting advisors with all aspects of trading operations this rule supports complex transactions including blocked and restricted trades manages brokerage trade corrections and responds to and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements.

Depth & Scope

• Collaborates with the manager to develop and maintain trading rules and configure trade system settings in NetX360 to support business objectives
• Executes trades accurately and ensure timely completion of all required regulatory and operational reporting
• Reviews flagged live orders, releasing them for execution or escalating issues as appropriate to ensure risk management and compliance
• Provides proactive support to advisors on trading operations, offering guidance on systems, processes, and best practices
• Assists advisors with complex trading activities, including block trades, restricted securities, and other specialized transactions
• Manages brokerage trade corrections, ensuring prompt resolution and minimal client impact
• Responds to inquiries and oversee follow-up related to debit margin matters, maintaining high standards of client service and operational integrity
• Supports the manager in preparing reports and analyses to meet internal and regulatory requirements
• Assists in identifying, investigating and resolving trade errors by coordinating with advisors and support teams, helping to minimize financial exposure and prevent reoccurrence

Education & Experience

• An undergraduate degree in a relevant field is preferred, however candidates with significant directly related professional experience will also be considered
• 3+ years industry experience
• Series 7 and 24

Occ

• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.
• Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.

Physical Requirements

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Occasional
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Occasional
• Crawling – Never
• Climbing – Never
• Reaching overhead – Occasional
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [e-mail]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.