DirectJobHub
Jobs · Finance · Connecticut

Trade Operations Support Specialist

TD · Hartford, CT · 1 wk ago
On-siteFinanceFull-time

Work Location: Hartford, Connecticut, United States of America. 40 hours per week.

About the Role

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 role 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.

Responsibilities

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

Requirements

  • An undergraduate degree in a relevant field is preferred; however, candidates with significant directly related professional experience will also be considered.
  • 3+ years of industry experience.
  • Series 7 and 24 licenses required.
  • This position is with a FINRA member, broker, and/or dealer and is subject to the requirements of FINRA and Securities Laws. Must be eligible for employment under standards established by FINRA.
  • Subject to the investigation and verification requirements of FINRA Rule 3110(e), including background checks, credit report checks, civil litigation searches, and regulatory agency or self-regulatory organization enforcement action searches.
  • Satisfactory results on criminal background checks and statements/certification from the job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization are required by federal law.

Physical Requirements

  • 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

Pay

$72,280 - $108,160 USD per year. TD is committed to providing fair and equitable compensation opportunities to all colleagues. The base pay offered may vary based on skills, experience, job-related knowledge, geographic location, and other business and organizational needs.

Benefits

Our Total Rewards package includes:

  • Base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards).
  • 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 programs.

We provide training and onboarding sessions to ensure success in your new role. TD is committed to supporting colleagues through regular development conversations, training programs, and a competitive benefits plan.

Similar jobs