Operations Analyst, Equity Clearing Restricted Securities

TD; Florida; On-site; USD 50,000 - 60,000; Full time

Job summary

TD Securities USA is seeking an Ops Analyst I to join the Restricted Securities team in Lake Mary, FL / New York, NY. The role ensures compliant trading and settlement of restricted securities and supports multi-area workflows.

The candidate should have a BS/BA or 3+ years of experience, be proficient with Office 365, Excel and Outlook, and possess strong communication, multi-tasking and time-management skills. The position emphasizes teamwork and accuracy.

Qualifications

• BS/BA degree or 3+ years of relevant work experience.
• Knowledge of broker-dealer operations focusing on equity transactions.
• Familiar with SEC Rule 144, resale registrations, and clearance and settlement processes.
• Proficient with Office 365, Excel, and Outlook.
• Strong verbal and written communication, time management and attention to detail.

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 Operations, Trading, vendors, Auditors, Governance & Control, and Technology for efficiency.
• Communicate daily with clients, Transfer Agents and Legal counsels.

Skills

Problem solving

Communication

Time management

Attention to detail

Team player

Multi-tasking

Proactive

Education

BS/BA degree

Tools

Office 365

Excel

Outlook

Job description

Work Location :Lake Mary, Florida, United States of AmericaHours:40Line of Business:TD SecuritiesPay Detail:$50,000 - $60,000 USDTD 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.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 OverviewTD 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 IncludeWork 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 counselsJob Requirements/QualificationsBS/BA degree and/or 3+ years of relevant work experience.Knowledge of any of the following helpfulBroker Dealer Operations with a focus on Equity TransactionsSEC Rule 144Resale Registration requirementsReg ShoClearance and Settlement processesProficient in Office 365 suite including Excel and OutlookAbility 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 AreTD 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 ValuesVision:We consistently deliver differentiated and disruptive insights that help our clients outperformEmpathy:We proactively consider and account for the priorities and concerns of our colleagues and clientsSustainability:We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of timeTenacious Teamwork:We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.*General Job DescriptionThe 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 disciplineLeads / participates in the identification, development and implementation of new products, operating workflow, additional services/applications or operational efficiencies for Global Business ServicesIdentifies documents, investigates, and resolves service delivery issuesManages relationships with the client, and other areas of TDS / GBSActs as a project manager for small-scale projects/initiativesInitiates 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 metInterfaces 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 managerEscalates non-standard or high risk transactions or other activities as appropriateAcquires and applies expertise in the discipline, provides guidance, assistance and direction to others in TD SecuritiesIdentifies recommend and effectively executes standard practices applicable to the disciplineAnalyzes service delivery issues and identifies potential solutions that enhance the customer experience and support TD Securities business objectivesProtects the interests of the firm identifies and manages risksCompletes business process reviews as requiredEducation & Experience:Bachelor's degree, or specialized training / equivalent work experience3-4 years related experienceWho We AreTD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.Together, we are reimagining what banking can be for our clients, colleagues and communities.Our Total Rewards PackageOur Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. 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. Learn moreAdditional Information:We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.Colleague DevelopmentIf you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.Training & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview ProcessWe’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.AccommodationTD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [e-mail] . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.