JOB DESCRIPTION:
Preferred Qualifications:
TD Securities is looking for an Ops Analyst I to join their International Settlements team based in Lake Mary, Florida. This role ensures all requirements are met for the successful settlement of foreign broker dealer transactions.
Responsibilities Include
- Work with a team of operations employees to facilitate the daily settlement of foreign broker dealer 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 and resolve transaction breaks.
- 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.
Job Requirements/Qualifications
- BS/BA degree and/or 3+ years of relevant work experience.
- Knowledge of
- Broker Dealer Operations with a focus on Equity Transactions
- FX and Wire Transactions
- Broadridge Systems – GLOSS & BPS
EDUCATION & EXPERIENCE:
- Undergraduate degree/ college diploma
- 5+ years relevant experience and/or post-graduate degree and/or certifications
- Solid knowledge of key functional areas
- Knowledge of products traded
- Knowledge of current and emerging competitor and market trends
- Knowledge of risk management environment, standards and regulations
- Knowledge of project/program support, planning and implementation
- Ability to exercise sound judgement in making decisions
- Ability to communicate effectively in both oral and written form
- Ability to work collaboratively and build relationships
- Knowledge of systems interfaces, payment and funding processes, compensation rules, and regulatory issues
- Skill in using analytical software tools, data analysis methods and reporting techniques
- Skill in using computer applications including MS Office
- Ability to analyze, organize and prioritize work while meeting multiple deadlines
- Ability to work successfully as a member of a team and independently
- Ability to handle confidential information with discretion
CUSTOMER ACCOUNTABILITIES:
- Provides deep technical subject matter expertise/analysis or operational process support as a key resource/representative for the Global Operations and Business Services function
- Identifies, documents, and investigates processes/exceptions arising from transactions/processes beyond first level operations service delivery
- Leads work streams by acting as a project lead/subject matter expert for small-scale initiatives/projects in accordance with project management methodologies
- Acts as conduit/coordinator/facilitator bringing in appropriate partners/ expertise on key initiatives
- Communicates project status and provide timely escalation of issues to senior management to ensure project objectives are met
- Contributes to the identification, development and implementation of new products, operating workflow, additional services/products/applications and/or operational efficiencies
- Provides accurate and thorough analysis of key process drivers, root or systemic causes of cross functional operational issues, interpret findings and make recommendations
- Accountable for cross-functional interdepartmental initiatives to deliver value internally or to partner/customer groups
- Provides upward feedback and analysis, developing and executing on reporting functions and/or producing consolidated or aggregated reporting as appropriate
- Maintains and develops working relationships with customers, partners and vendors by representing the broader Operations function, addressing complex customer issues within the context of the full end-to-end process
- Works closely with other internal bank partners to ensure all clients’ needs are met
SHAREHOLDER ACCOUNTABILITIES:
- Supports the timely and accurate completion of business processes and procedures according to SLA requirements
- Develops and/or implements standards, policies, procedures, and solutions that mitigate risk and maximize availability of service, efficiency and effectiveness
- Actively maintains understanding of internal and industry regulations and trends, developing and sharing knowledge of emerging issues/risks, and assess potential impacts as it relates to operating policies, standards and procedures
- Consistently exercises discretion in managing correspondence, information and all matters of confidentiality
- Analyzes service delivery issues and conduct internal/external research projects and/or contribute to audit reviews; run testing, and generate reports to identify potential solutions within TD’s risk appetite that enhance the customer experience and support business objectives
- Contributes to the development/delivery of presentations/ communications to management or broader audiences
- Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite; adhere to enterprise frameworks and methodologies that relate to operations activities for own area (e.g. Anti-Money Laundering, Business Continuity Management)
- Supports change management projects or programs that impact the business, functions or processes and ensure clear communication and documentation of new processes
- Assumes responsibility to minimize operational and regulatory risk by complying with Bank and industry Code of Conduct
EMPLOYEE/TEAM ACCOUNTABILITIES:
- Participates fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure the timely communication of issues/points of interest
- Provides thought leadership and/or industry knowledge by actively building operations/business services knowledge, think critically about processes and opportunities for improvement, share ideas and transfer knowledge within the team and across the function
- Participates in personal performance management and development activities, including cross training within own team and other teams in Global Operations & Business Services
- Keeps others informed and up to date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
- Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
- Leads, motivates and develops relationships with internal and external business partners/ stakeholders to develop productive working relationships
- Contributes to a fair, positive and equitable environment that supports a diverse workforce
- Acts as a brand ambassador for Global Operations & Business Services and the bank, both internally and/or externally
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 help clients meet their needs today and prepare for tomorrow. 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. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
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