Senior Support Specialist overseeing the trading desk operations for TD Wealth. Ensuring regulatory compliance, operational excellence, and risk management in trading activities.
Responsibilities
Provides oversight of trading rules and system configurations
Manages and oversees regulatory reporting requirements
Ensures adequate staffing levels and resource allocation
Supervises and participates in the review and release of flagged live orders
Reviews and grants approvals for trade exceptions and non-standard transactions
Leads the development, maintenance, and enhancement of policies and procedures
Partners with Compliance, Risk, Technology, and other business units
Requirements
An undergraduate degree in a relevant field is preferred
5+ years industry experience
Series 7 and 24 license required
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
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