This role will be responsible for collaborating with the management team on designing, engineering and creating strategy for the future state of Record management solutions including both regulatory and operational communications. The creation of this role will allow for the Operations organization to shift to knowledge worker for the purposes of designing long-term growth sustaining systems and processes.
- Be the primary point of contact for business partners across the organization including Legal, Compliance, Marketing. Lean Teams and Technology.
- Vendor Management (including quality assurance), QBR management, key service level metrics oversight, Budget management
- Lead coordinator of department information for input to Operations Strategy for creation of project plans and other project related work done by that team.
- Act as a primary Subject Matter Expert (SME) for projects and act as a tester for User Acceptance Testing (UAT).
- Stay abreast of business and technology changes that will affect the department and implements projects to bridge process or technology gaps to industry best practice; and provide transparency to these efforts.
- Represent the department on key project decisions for scope, requirements, timeline, or testing approvals.
- Assist in drafting BIDs, requirements, and testing documentation. Those BIDS are then provided to Operations Strategy according to the approved process in order to be vetted by the project management organization. Provide analysis and documentation to auditors or Regulatory bodies during audits/exams.
- Identify Regulatory sensitivity and work with Legal and Compliance to interpret the rules and ensure adherence
- Communication and collaboration with Legal, Compliance, Audit and Operations Control to monitor risk
- Assess and recommendations of risk related profile adjustments based on technology and workforce changes
- Work with Operations leadership at all levels to ensure issues are identified, reviewed, prioritized, and included in project requirements and changes as needed.
- Collaborating with Compliance, Legal and Audit on appropriate response to regulatory matters including, but not limited to; technology changes, cross-functional subject matter expertise coordination, communication with regulators
- Determine key risk items and perform Key Control Testing to mitigate client and firm risk.
- Provide Value-stream map exercises in order to create Client view of existing processes for the purposes of edifying the design and strategy proposals
- This role will only participate in daily operations matters in times of BCP or other crisis situations.
- Management of Record Management System; LEAN/Whole team participation, key metrics/scorecards, road map, testing, regulatory matters, industry standards and design to TDA, vendor QBR and liaison and product and service analysis.
- 4 year college degree (Business Major preferred but not required)
- 7-10 years’ experience
- Deep knowledge of Brokerage Operations critical functions, Policies and Procedures specific to TD Ameritrade including systems and client correspondence.
- Strong understanding of financial services clearing based industry facilities such as FINRA, SEC.
- Series 7, 63, 24 licensures (Optional).
- Previous People Management experiencepreferred.