Job Description

Job Description

The Private Client Services (PCS) Operations Specialist III processes and records a wide variety of transactions relating to investment management cash and asset flow among various accounts according to applicable policies and procedures.

Requirements

Depth & Scope

Leads activities of a section of operations area as needed, coordinating assignments, prioritizing work flow and acting as an information resource.
Checks system for current or pending transactions to be processed and recorded.
Ensures that transactions are confirmed and entered in system, according to established policies and procedures for each type of transaction.
Resolves problems with transactions by communicating directly with internal financial advisory and investment management areas and with third party advisors and investment companies.
Prepares detailed information and reports on transactions and accounts as needed.
Ensures alternative ways to improve processes and procedures and identifies recurring problems and issues and communicates them to supervisor for possible procedure changes; provides input to department policy and procedure development.
Coordinates special projects and assignments as needed, such as semiannual audit check of vault.
* Must be eligible for employment under regulatory standards applicable to the position.

Qualifications

High School Diploma or GED.
3-5 years related experience required.
A minimum of FINRA Series 99 registration is required; If hired without licenses, candidate will need to acquire within a defined period outlined at time of hire
In-depth knowledge of accounting entries and procedures.
Strong knowledge of trust operations processes.
Strong arithmetic skills.
Strong organizational skills.
Time management skills.
Attention to detail.
Interpersonal skills.
Communication skills, both verbal and written.
PC skills.
OCC Language:

This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA
Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicants Form U4, no later than 30 calendar days after the Form U4 is filed with 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

Hours

40

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.