Operations Analyst, Equity Clearing Restricted Securities

Work Location:

Lake Mary, Florida, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$50,000 - $60,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Preferred Qualifications:

Job Overview

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.

Responsibilities Include

* 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

Job Requirements /Qualifications

* BS/BA degree and/or 3+ years of relevant work experience.

* 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

* 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.

Who We Are

TD Securities USA is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. TD Securities USA focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide.

At TD Securities USA, inclusion and diversity are catalysts for success and innovation in everything we do. We pride ourselves on our empathetic and collaborative culture, where the power of diversity is harnessed to transform the status quo. Our focus on inclusion expands our thinking in order to generate better outcomes for clients, while striving to increase fairness and equity for our colleagues.

TD Securities USA's vision of creating a more inclusive and equitable future is supported by our core values and is essential to our ability to outperform.

Our Values

Vision:

We consistently deliver differentiated and disruptive insights that help our clients outperform

Empathy:

We proactively consider and account for the priorities and concerns of our colleagues and clients

Sustainability:

We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time

Tenacious Teamwork:

We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.

* General

Job Description

The Operations Analyst/Specialist I TDS provides back up for the Canadian Fixed Income Desk. This individual will handle corporate actions, daily cash reconciliation, tracking file uploads into FIST, and be a DTC clearance specialist. Responsibilities include the clearance of London trading activity passing through US broker/dealers. Activities include advising agent of ticket control numbers for confirmations and by performing required system maintenance.

In addition, the position will maintain compliance files and verify new clients are set up on FIST, acknowledging that settlement and other client instructions are complete.

Depth & Scope:

* 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…