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Wealth Management Analyst - Mutual Funds

TD Ameritrade

Wealth Management Analyst - Mutual Funds
Omaha, NE Entry-Level Paid


The analyst is responsible for key deliverables to internal and external clients/advisors/regulators on a daily basis. The key deliverables include but are not limited to analysis of exceptions from the TDA back office system, research/resolution of issues with the BNY Surpas sub-accounting vendor, analysis or troubleshooting of DTCC and Surpas file transmission issues, and testing/implementation of new technology enhancements.

The analyst completes assignments in Trading, Dividends, Money Markets, Reconciliation, Cross-Class Exchanges, and Security Master preferences that directly impact the Client/Advisor account. An analyst's failure to interpret or analyze in a perfect manner leads to account attrition, client dissatisfaction, and/or liability for TDA.

This role interacts with external clients primarily through active monitoring of back-office automation or as an intermediary answering client calls/emails/escalations. The role directly interacts and manages the day to day relationships with Fund companies, BNY, DTCC, contra firms, Broadridge, and Sweep Money Market providers.



  • Fund-specific rules (Example: Fund minimums)
  • Client/Advisor level exemptions (Example: STR waivers)
  • Regulatory obligations (Examples: Blue Sky reporting and 15C3-3)
  • Reconciliation of Trade, Dividend, and Transfer Breaks
  • Reconciliation across BOS, SuRPAS, and Fund Companies
  • Review and interpretation of proper tax coding and corrections of tax coding for Mutual Funds transactions

Problem Solving

  • Internal/External system enhancements or issues
  • Root cause of breaks between TDA, the Fund, DTCC, Surpas, etc.
  • Providing process or technology solution options to Management
  • Remediating transfer issues with the Fund or Contra Firm

Client or Business Partner Service

  • Answering business partner inquiries regarding Fund specific requirements/eligibility
  • Providing follow up on Mutual Fund transfers to expedite the client request or remediate NIGO type issues
  • Timely and accurate completion of client trading and dividend requests



  • Series 7 & 63
  • High School Diploma or Equivalent
  • 1 to 3 years Brokerage Experience
  • Military education or experience may be considered in lieu of civilian requirements listed


Financial Services

About Us

At TD Ameritrade we help individual investors pursue their financial goals through our brokerage subsidiaries. For more than 40 years we have been serving individual investors – from the first-time investor to the sophisticated trader, and from the “do-it-yourself” to the “do-it-for-me” investor. We offer a broad range of investment tools and services – all at a great value.

We engage with our clients in many different ways including online, on-the-go via mobile applications, over the phone or through independent registered investment advisors. Our clients choose how they want to work with TD Ameritrade – not the other way around.