Restricted Securities Ops Analyst – Settlements

TD; Town of Florida (NY); 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

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.