Operations Analyst, Equity Clearing Restricted Securities

About the role

TD Securities USA is looking for an Ops Analyst I to join their Restricted Securities team based in Lake Mary, Florida/New York, NY.

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 requests 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.

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.

Pay

$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 at TD. Our 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.

Schedule

Hours 40

Benefits

TD offers a wide range of benefits including 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.