Trader Supervision & Oversight Manager

Job Description

This role provides broker dealer required supervision over the TD Ameritrade Educational Offering and provides supervision of Broker dealer personnel for the TDA Network offering in support of the Sr Manager Trader Supervision and Oversight. This role will assist in supervising two key areas of the Trader business – TDA Education (webcasts, live events and the personnel behind the Education offering) and TDA Network support.
This role requires a strong knowledge of broker dealer platforms, trading strategies and systems and is expected to provide high level risk reports to Senior and Director Management level that alerts them to risk items and suggests solutions for risk and supervision gaps. This role is expected to work closely with the Trader Oversight team to provide feedback on policies, procedures, risks and controls. This role will be responsible for giving supervising principal sign off for various communications on behalf of the Firm as well as providing feedback and/or training to coaches and broker dealer talent on their activities.

• Implement and execute on an effective program of monitoring and supervision for the assigned areas
• Perform timely review
• Provide constructive and actionable feedback to Education Coaches and licensed personnel
• Communicate issues to Snr Manager and Director Trader Oversight.
• Document review and any associated risk events
• Documentation of risk events including management communication.
• Periodic audits of live (in-person) workshop events
• Act as subject matter expert on risk perspectives of investor education content
• Review content for courses, Workshop events, and other online content, including proper disclosures.
• Liaison with Compliance Communications Review to ensure licensed content is approved before incorporation
• Assist in Education release review
• Review calls, chats and emails for Education group
• Create and maintain supervision calendars
• Develop, implement and modify
• Review to Finra standards and approve webcasts for archival
• Approve Social posts for TDA Network when required
• Review social handles of Education Coaches and other ambassadors as needed
• Manage and approve drawdown communications for Investools
• Provide edits and re review when edits are required to communications
• Review of scripted material (Rundowns) for TDA Network shows,.
• Live review of TDA Network broadcasts and documentation of review.
• Escalation of risk events to Senior Manager and/or Director; working with TDA Network and on-air talent to correct risk events.
• Approval of TDA Network shows for archival/replay, where required.
• Ensuring proper disclosures are displayed throughout the broadcasts.
• Liaison with Legal/Compliance on TDA Network business issues.
• Review and approval of TDA Network social postings (Twitter, YouTube, Facebook, etc).

Requirements:

• 4 Year College Degree - Preferably finance or business related
• 3-5 years related experience
• 6 years total experience
• Detailed knowledge of financial industry along with significant knowledge of trading strategies, technology and permitted rhetoric and regulatory requirements
• Ability to ensure compliance with FINRA communication rules and advertising standards
• Detailed and organized
• Ability to operate on a flexible schedule
• Ability to educate coaches and talent on better application of language to describe complex situations
• Ability to give tough feedback and caution talent on issues
• Ability to recognize and mitigate key risks to the business
• Problem resolution and communication skills, especially in high-stress situations
• Series 7, 63, 24, & 4 required
• Series 3 & 34 preferred

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at [email protected] or call 800-275-1281.

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.