Operations Analyst, TD Securities

TD Bank•Lake Mary, FL

17h•Onsite

About The Position

Serves as a critical link between the Front Office (Trading, Sales,) and Back Office Operations. The role is responsible for ensuring that trades are accurately captured, validated, monitored, and processed while minimizing operational, financial, and regulatory risk. The Operations Analyst/Specialist I TDS provides back up for trading 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. 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.

Requirements

1-2 years’ work experience in Operations
Bachelor’s Degree in Finance or related field
Experience with Microsoft suite of products is required with a heavy emphasis on Excel
Team-oriented environment, but must also be a self-starter who can manage competing priorities
Large volume of email.
Must be able to thrive in a fast-paced environment.
Excellent Verbal and written communication skills
Ability to multi-task and prioritize
Bachelor's degree, or specialized training / equivalent work experience
3-4 years related experience

Nice To Haves

Experience in Accounting, Finance, or the securities industry preferred.
Experience with a broker dealer or back office operations is a plus
Experience with DTCC products a plus

Responsibilities

Support the pre and post trade process by utilizing proprietary systems for downstream trade processing and ensuring the accurate allocation of trades to client accounts for all Global Markets.
Liaise with local agents, clients, trading desks, and internal functional teams for timely, precise reporting of trade executions in accordance with client needs
Completing daily reconciliations to ensure the quality and accuracy of our reporting
Act as the first line of defense for transaction reporting by managing controls and oversight metrics to show trends and anomalies that require further root cause analysis and remediation, and escalation of such items.
Review daily exception reports; research and resolve exceptions to ensure accurate reconciliation
Perform other duties and responsibilities, as assigned.
Handle corporate actions, daily cash reconciliation, tracking file uploads into FIST, and be a DTC clearance specialist.
Clearance of London trading activity passing through US broker/dealers.
Advising agent of ticket control numbers for confirmations and by performing required system maintenance.
Maintain compliance files and verify new clients are set up on FIST, acknowledging that settlement and other client instructions are complete.
Identify, document, investigate, and resolve service delivery issues
Manage relationships with the client, and other areas of TDS / GBS
Act as a project manager for small-scale projects/initiatives
Initiate or participate in projects follow project management methodologies, communicate project status and provide timely escalation of issues to senior management to ensure project objectives are met
Interface 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
Escalate non-standard or high risk transactions or other activities as appropriate
Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others in TD Securities
Identify recommend and effectively execute standard practices applicable to the discipline
Analyze service delivery issues and identify potential solutions that enhance the customer experience and support TD Securities business objectives
Protect the interests of the firm identify and manage risks
Complete business process reviews as required