Operations Analyst – Securities Settlements & Risk

TD Securities; Town of Florida (NY); On-site; USD 50,000 - 60,000; Full time

Job summary

TD Securities USA is seeking an Operations Analyst I to join the Restricted Securities team based in Lake Mary, Florida, with a NYC/New York footprint. The role ensures compliant trading and settlement of restricted securities transactions and offers growth within a diversified financial services firm.

The ideal candidate has a BS/BA or 3+ years of related experience, is proficient in Office 365 (Excel/Outlook), and demonstrates strong communication, time management, and problem-solving skills

Qualifications

• BS/BA degree and/or 3+ years of relevant work experience.
• Knowledge of Broker Dealer Operations with a focus on Equity Transactions.
• SEC Rule 144 knowledge.
• Resale Registration requirements.
• Reg Sho familiarity.
• Clearance and Settlement processes.
• Proficient in Office 365 suite including Excel and Outlook.
• Ability to identify, elevate, 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.

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

Skills

Teamwork

Time management

Detail-oriented

Communication

Problem solving

Proactive

Education

Bachelor's degree

Tools

Excel

Outlook

Office 365

Job description

TD Securities USA is seeking an Operations Analyst I to join the Restricted Securities team based in Lake Mary, Florida, with a NYC/New York footprint. The role ensures compliant trading and settlement of restricted securities transactions and offers growth within a diversified financial services firm.

The ideal candidate has a BS/BA or 3+ years of related experience, is proficient in Office 365 (Excel/Outlook), and demonstrates strong communication, time management, and problem-solving skills