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Retirement and Trading Specialist

Location Southlake, Texas, United States; Omaha,Nebraska,United States;Richfield,Ohio,United States;Phoenix,Arizona,United States; Requisition ID 2022-84725 Category Customer Service / Client Service Position Type Regular
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Your Opportunity


Self-Directed Participant Services works directly with Self-Directed Brokerage Accounts for retirement plans and health savings accounts.  These are tax-exempt trust accounts that are established by plan participants within an employer-sponsored retirement plan (401K, 403B, etc).

The Participant Group Specialist will directly interact with a variety of clients including plan participants, trustees, TPAs, and advisors, through inbound and outbound calls, emails, chat and letters.  This position is responsible for answering all client service and trading inquiries, as well as complex transactions and issue resolutions, often including interaction directly with Clearing or Institutional.  The position is also responsible for mitigating risk through tailoring specific information to different layers of contacts associated with plans, maintaining knowledge from across multiple business units, and performing many analyst functions such as credit risk, trade reviews, quality assurance, and other projects.  The individual will also act as an advocate of TD Ameritrade and Self Directed Plan Services by recognizing prospects, describing the Self Directed Plan Service products, and may include a referral to any of the Sales groups.  This position requires the ability to consistently perform to a high level performance and quality goals set by management based on the needs and expectations of our Corporate clients and plan providers.  This unique position requires proficiency at handling standard investor service, clearing, trust, and institutional issues, as well as knowledge of retirement plans and specialized Self Directed Plan Services information.  In addition, the Specialist must be able to multitask and work on several different assignments simultaneously, and also have the flexibility to shift tasks or assist other areas of Institutional as needed.

Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work – whether that’s in the office or remote.

  • Most Schwabbies have the opportunity to work in the office and/or at home based on their preference*
  • Employees mayhave the flexibility for a hybrid schedule, where they divide their time between working remotely or in the office.
  • Employees and managers can discuss additional flexibility options based on their role, business needs, and individual circumstances.

*Subject to change. Schwab is continually evaluating its approach to ensuring the safety and well-being of our employees  

What you are good at


  • Providing World Class client service via phone, email and chat, while establishing and cultivating relationships
  • Processing service inquiries as well as equity, option, and mutual fund transactions
  • Possess an extensive knowledge of the stock market as well as complex option trading
  • Reviewing mutual fund and equity orders
  • Processing Systematic Mutual Fund orders
  • Adhering to established company policies and procedures regarding the placement of trades on behalf of TD Ameritrade customers
  • Following all Lean Standards
  • Reviewing asset positions to ensure acceptance by TDA
  • Processing liquidation requests from Provider Services
  • Call out to Participants/Advisors/Trustees on Back Office issues
  • Processing Broker Inquiries from Provider Services
  • Creating appropriate cases to be worked by Provider Services or other groups
  • Mitigating trading risk including following all trading policies and procedures, and escalating appropriately to management
  • System cleanup projects
  • Call out campaigns

What you have


  • 1+ years of Financial Services experience
  • Series 7 & 63/66 required
  • 6+ months of Client Service experience preferred
  • 3 to 6 months of Trading experience preferred
  • Outstanding communication, listening and analytical skills
  • Possess a sense of urgency and commitment to provide the highest level of service to TD Ameritrade clients.
  • Ability to recognize client's needs quickly and respond to those needs in a courteous and professional manner
  • Recognizes opportunities for improvement and recommends changes in current processes or procedures to enhance personal and organizational effectiveness and efficiency
  • Capable of maintaining a professional attitude and exhibiting emotional intelligence
  • Extensive knowledge of the securities industry and TD Ameritrade procedures
  • Strong Technical aptitude with the ability to quickly assimilate and understand the systems utilized throughout the company
  • Ability to assemble facts and accurately make a determination as to what action needs to be initiated to achieve resolution of client inquiries
  • Proficient typing skills and using TD Ameritrade Systems.
  • Capable of handling an ever-changing environment
  • Adept at teamwork across multiple locations

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 applicantaccessibility@schwab.com 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.

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