Manager of Tax Lot Reporting

Full time
Based on Experience
texas 07/09/2017   Full time Based on Experience


The Manager of Tax Lot Reporting is responsible for the management of a team of specialists that are subject matter experts in Cost Basis reporting, the tools we use and provide Advisors, while providing help to our Advisors with their understanding of these regulations. Additionally, the incumbent will serve as a liaison with our internal partners on projects that are driven from the RIA Feedback initiatives and Enterprise level projects. This person will be responsible for working with Senior Leadership in Institutional Brokerage Services as well as with our partners in Institutional (Sales, Product, Marketing and Client Communication) and Brokerage Op's to ensure we have alignment across the organization on initiatives, tactics and execution of all items relating to the Advisor experience.  Ensuring our information is correct is vital not only to our Advisors and their clients but to TDA, as this data is reported to the IRS. The Manager will also be responsible for handling escalations from Advisors, Sales, and service as well as helping the Sales team at the deal table with the Advisor prospects.


  • ​Main point of contact on Tax Lot Reporting, supporting all of Institutional and working closely with Sales and Brokerage operations to ensure alignment across the firm
  • Create and deliver training related materials for Advisor workshops, service cells, and department training on Cost Basis related processes and regulations
  • Develop and drive programs to improve Advisor and Client experience results through active management of idea exchange and client dis-satisfier communication
  • Active management and communication of information and changes to our RIAs through global communications where the Director is providing content
  • Responsible for making decisions regarding INST on new / existing regulatory changes and their impacts to our business (including system changes, process changes, form changes, etc.)
  • Work directly with T2 and Institutional  Product Management to ensure the information we provide and display to Advisors is accurate
  • Work directly with Advisor vendors (Orion, Black Diamond, Portfolio Center, etc.) to ensure we understand their needs and that they understand what we provide
  • Manage the implementation of process and procedural improvements


  • ​Series 7, 63 and 24 required or must be obtained in accordance with the firm's licensing policies
  • All regulations tied to Cost Basis reporting
  • Polished presentation and communication skills
  • Tax experience and expertise
  • Highly developed problem solving skills
  • Understanding of cost basis along with the challenges and issues associated with capturing and displaying this data
  • Strong technology and computer systems skills

LocationSan Diego, CA or Fort Worth, TX

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