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TD Ameritrade IP Company, Inc

Specialist, Compliance Licensing & Registration - Military veterans preferred

TD Ameritrade IP Company, Inc - Fort Worth, TX



Responsible for making Entity (firm) and Associate filings as appropriate with the SEC, FINRA, NFA, and state regulatory authorities
Responds to inquiries from regulatory authorities and state securities jurisdictions
Maintains a high degree of responsibility and confidentiality in ensuring the timely and accurate management of the registration processes
Focus of effort is on achieving and sustaining a high level of quality, accuracy and efficiency in the processing and delivery of assigned responsibilities
Responsible for additional projects and duties as periodically assigned

Review, analyze, and document events requiring regulatory reporting and disclosure
Understand SEC, MSRB, FINRA, NFA, individual state insurance registration and reporting requirements
Review, analyze, and document issues pertaining to associate securities registrations, criminal, and financial events relative to requirements of multiple regulatory authorities and applicable state jurisdiction requirements/statutes (up to 53 jurisdictions)
Ensure comprehensive, accurate and timely reporting is made within regulatory reporting standards
Pre-filing activity requires issue identification, data collection, and may involve associate or business consultation
Responsible for analyzing case by case situations and determining the filing needed
Provide consultation and guidance to business partners on emerging issues
Provide timely and accurate communication regarding licensing and registration changes based on new regulatory requirements and business organizational changes
Provide education/training to business partners and individual associates as needed to ensure compliance and risk avoidance
Communication with external clients (SEC, FINRA, NFA, state securities and insurance authorities, etc.) on regulatory issues

Knowledge of securities industry registration filing requirements to include SEC, MSRB, FINRA, NFA, individual state insurance registration and reporting requirements
Proficient in using Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD)
Proficiency in using Microsoft Excel
Series 7 (General Securities Representative) and Series 24 (General Securities Principal) preferred
High School Diploma or Equivalent required
4 Year College Degree preferred
1-3 years related work experience
Military education or experience may be considered in lieu of civilian requirements listed

12 days 16 hours ago

TD Ameritrade IP Company, Inc

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Specialist, Compliance Licensing & Registration - Military veterans preferred TD Ameritrade IP Company, Inc - Fort Worth, TX, United States

   

Location: Fort Worth, TX

Company Profile:
When the Securities and Exchange Commission eliminated the practice of fixed brokerage commissions on May 1, 1975, none of the major brokerage firms at the time thought anyone would ‘break ranks’ and offer discounted commissions. But, a handful of small firms, including First Omaha Securities, Inc., saw a unique opportunity. First Omaha Securities evolved into TD Ameritrade, and for over 35 years has remained a pioneer in an industry that continues to innovate new ways that make Wall Street more accessible to the individual investor. In the 1980s and 1990s, TD Ameritrade pioneered a number of ‘firsts,’ leveraging technology to make investing easier, faster, and more efficient. In 1988, the company was the first to offer touch-tone phone trading. And, in 1995 it acquired K. Aufhauser & Co., which was credited with executing the first online trade in 1994. Following its Initial Public Offering (IPO) in March 1997, the company combined its various brokerage units into one broker dealer, Ameritrade, Inc., and launched its first national advertising campaign, complete with a pricing philosophy that continues today.