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Wealth Management Analyst - Mutual Funds

TD Ameritrade

TD Ameritrade

Wealth Management Analyst - Mutual Funds

Omaha, NE
Full Time
  • Responsibilities

    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
  • Qualifications


    • 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
  • Industry
    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.