Operations Analyst, Equity Clearing Restricted Securities

About the role

TD Securities USA is seeking 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.
• Able to identify, escalate, and resolve problems/issues.
• Able 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.
• Able to multi-task and prioritize tasks.
• Able to work in a team environment.
• Able to meet deadlines and work under pressure.
• Proactive and self-starter who is goal oriented.

Pay

$50,000 - $60,000 USD

Schedule

40 hours per week