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.
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 Overview
TD 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 Include
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
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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.
Who We Are
TD 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 Values
Vision:
We consistently deliver differentiated and disruptive insights that help our clients outperform
Empathy:
We proactively consider and account for the priorities and concerns of our colleagues and clients
Sustainability:
We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time
Tenacious Teamwork:
We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.
*General Job Description
The 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 discipline
Leads / participates in the identification, development and implementation of new products, operating workflow, additional services/applications or operational efficiencies for Global Business Services
Identifies documents, investigates, and resolves service delivery issues
Manages relationships with the client, and other areas of TDS / GBS
Acts as a project manager for small-scale projects/initiatives
Initiates 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 met
Interfaces 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 manager
Escalates non-standard or high risk transactions or other activities as appropriate
Acquires and applies expertise in the discipline, provides guidance, assistance and direction to others in TD Securities
Identifies recommend and effectively executes standard practices applicable to the discipline
Analyzes service delivery issues and identifies potential solutions that enhance the customer experience and support TD Securities business objectives
Protects the interests of the firm identifies and manages risks
Completes business process reviews as required
Education & Experience:
Bachelor's degree, or specialized training / equivalent work experience
3-4 years related experience
Who We Are
TD 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 Package Our 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 a
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