Operations Analyst, Equity Clearing Restricted Securities

TD • Lake Mary, FL

7d • $50,000 - $60,000

About The Position

TD Securities USA is looking for an Ops Analyst I to join their Restricted Securities team based in Lake Mary, Florida/New York, NY. This role ensures all requirements are met for the compliant trading and settlement of restricted securities transactions.

Requirements

• BS/BA degree and/or 3+ years of relevant work experience.
• Proficient in Office 365 suite including Excel and Outlook
• Ability to identify, escalate, and resolve problems/issues.
• Ability to communicate professionally through effective verbal and written skills.
• Demonstrates efficient time management skills and critical thinking.
• Demonstrates organizational skills and a strong attention to detail.
• Ability to multi-task and prioritize tasks.
• Ability to work in a team environment.
• Ability to meet deadlines and work under pressure.
• Proactive and self-starter who is goal oriented.

Nice To Haves

• Knowledge of any of the following helpful Broker Dealer Operations with a focus on Equity Transactions SEC Rule 144 Resale Registration requirements Reg Sho Clearance and Settlement processes

Responsibilities

• Work with a team of operations employees to facilitate approvals and settlements of restricted transactions while mitigating risk.
• Cross-train in several areas of the department to have a diverse skill set and comprehensive understanding of business flows.
• Review trading request and resolve settlement issues.
• Develop relationships with applicable members of Operations, Trading, vendors, Internal and External Auditors, Governance & Control, and Technology to ensure partnership and efficient operation and coordination.
• Communicate daily with clients, Transfer Agents and Legal counsels
• Acts as a specialist owner or representative in the discipline
• Leads / participates in the identification, development and implementation of new products, operating workflow, additional services/applications or operational efficiencies for Global Business Services
• Identifies documents, investigates, and resolves service delivery issues
• Manages relationships with the client, and other areas of TDS / GBS
• Acts as a project manager for small-scale projects/initiatives
• Initiates or participates in projects follows project management methodologies, communicates project status and provides timely escalation of issues to senior management to ensure project objectives are met
• Interfaces with regulators, external groups (legal firms, accountants etc.), suppliers on operating and service delivery issues relative to the specific area of functional expertise as authorized by the manager
• Escalates non-standard or high risk transactions or other activities as appropriate
• Acquires and applies expertise in the discipline, provides guidance, assistance and direction to others in TD Securities
• Identifies recommend and effectively executes standard practices applicable to the discipline
• Analyzes service delivery issues and identifies potential solutions that enhance the customer experience and support TD Securities business objectives
• Protects the interests of the firm identifies and manages risks
• Completes business process reviews as required

Benefits

• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level