Trading Operations Specialist: Advisor Support & Compliance

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

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.