TD · 2 months ago
Trade Operations Senior Support Specialist
Exton, Pennsylvania
Full-time
Onsite
Mid, Senior Level
$87K/yr - $139K/yr
5+ years expTD Bank is one of the world's leading global financial institutions, and they are seeking a Trade Operations Senior Support Specialist. This role is responsible for the strategic and operational oversight of the trading desk, ensuring adherence to regulatory requirements and timely execution of trading activities while providing guidance and mentorship to the trading support staff.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Provides oversight of trading rules and system configurations in the Pershing Platform to ensure accurate and compliant trade processing
Manages and oversees regulatory reporting requirements, including but not limited to CAT, CAIS, TRACE, and other mandated reporting obligations
Ensures adequate staffing levels and resource allocation to handle live trading orders efficiently and meet service level standards
Supervises and participates in the review and release of flagged live orders, acting as a dual control for higher-risk transactions to mitigate operational and market risk
Reviews and grants approvals for trade exceptions and non-standard transactions
Maintains oversight of key risk metrics and escalate issues as necessary to senior management
Leads the development, maintenance, and enhancement of policies, procedures, and desk-level controls to comply with regulatory and firm requirements
Acts as the regulatory change management lead, assessing and implementing required changes to processes, systems, and reporting in response to new or amended regulations
Partners with Compliance, Risk, Technology, and other business units to ensure trading activities align with internal standards and external regulatory expectations
Provides guidance, training, and mentorship to trading support staff to promote a culture of risk awareness and operational excellence
Assists in identifying, investigating and resolving trade errors by coordinating with advisors and support teams, helping to minimize financial exposure and prevent reoccurrence
Qualification
Required
5+ years industry experience
Series 7 and 24
Must be eligible for employment under standards established by 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
Preferred
An undergraduate degree in a relevant field is preferred however candidates with significant directly related professional experience will also be considered
Benefits
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
Reward and recognition
Company
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
H1B Sponsorship
TD has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2022 (1)
2020 (6)
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
SVP, Chief Information Security Officer
Recent News
Winnipeg Free Press
2026-01-09
2026-01-06
2026-01-03
Company data provided by crunchbase