REPORTING TO: Director of Operations Control

LOCATION: Omaha, Nebraska

THE COMPANY: TD Ameritrade Holding Corporation www.tdameritrade.com

TD Ameritrade Holding Corporation, through its brokerage subsidiaries provides a dynamic balance of investment products and services that further the Independent Spirit of individual investors. Listed by Barron's as the #1 Web browser-based online broker and Forbes as one of America's best big companies, the Company's full spectrum of services include a leading active trader program and long-term investor solutions, including a national branch system, as well as relationships with one of the largest networks of independent registered investment advisors.

SCOPE AND RESPONSIBILITIES:

The Sr Manager, Operations Control will be responsible for analyzing and implementing a monitoring system designed to proactively mitigate risk exposure for numerous brokerage processing accounts. Additional responsibilities will include assisting various areas of the organization in achieving goals aimed at minimizing capital charges and contributing to the preparation of financial reporting for 15c3-1 and 15c3-3.

Other responsibilities will include:

• Leadership and participation in financial audits by SEC, FINRA regulators and external accountants.
• Management of Regulatory Reporting Function components.
• Assist Managing Director of Operations Control in assessing and interpreting brokerage reconciliations and implications thereof to the firm’s Regulatory Reporting.
• Contribute to preparation and filing of all broker/dealer regulatory financial reports, which could include 15c3-1, 15c3-3, and Form 17h.
• Assist in the preparation of various operating statistical and financial reports.
• Perform and lead in-depth reviews of existing brokerage reconciliation reports and processes.
• Work with clearing firm operational staff in the management of the information necessary to support timely and accurate regulatory reporting.
• Facilitate and improve proactive risk mitigation program.

EXPERIENCE REQUIRED:

• 5-10 years experience on the operational side of a clearing firm and a solid understanding of the applicability of a clearing broker’s activities as they relate to financial capital reporting is required.
• Prior experience in broker/dealer regulatory reporting functions preferred.

PERSONAL ATTRIBUTES:

• Demonstrated ability to lead others through example and work ethic.
• Outstanding organization skills and has the ability to manage multiple simultaneous tasks.
• Strong interpersonal skills and is a collaborative team player.
• Meets deadlines in a consistent manner.
• Brings both strong written and verbal communications skills.
• Adds exceptional value that earns credibility with the other team members.
• Ability to work independently, think creatively, and is a self-starter.
• Attention to detail, ability to perform thorough self-review of completed work.

EDUCATION:

Bachelor’s Degree or equivalent experience
Series 27 (Financial & Operations Principal) preferred

CONTACT INFORMATION:

Candace Doorley
Senior Account Manager
Chicago, Illinois
312-627-9301 x3214
312-627-9302
cdoorley@jobplex.com