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**Work Location** :

Lake Mary, Florida, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$50,000 - $60,000 USD

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 Description:

Preferred Qualifications:

TD Securities is looking for an Operations Analyst III to join their Internal Control team based in Lake Mary, Florida. This role will ensure daily activities within operations adhere to firm governance requirements. The role will partner with the rest of the TD Securities team to ensure a strong control infrastructure in accordance with firm and regulatory standards.

Responsibilities Include

+ Collaborate daily with cross-functional teams and partners globally to help resolve breaks.

+ Ensure all breaks reports are complete, accurate and communicated on a timely manner.

+ Help prepare metrics and analytics related to breaks, fails and open items.

+ Ensure regulatory requirements are met from an Operations perspective by providing Finance with relevant data.

+ Resolve exceptions and non-standard issues, escalating to appropriate levels when necessary.

+ Lead small projects and suggest process improvements.

+ Serve as a point of contact for audit requests both internal and external.

Job Requirements/Qualifications

+ BS/BA degree and/or 4+ years of relevant work experience.

+ Knowledge of

+ Broker Dealer Operations with a focus on Equities.

+ Snowflake/Sigma

+ DTCC/NSCC

+ Broadridge – BPS, BPS/A, Ascendis (BR-TRACK, OAES, Postedge, Cage, and Gloss a plus)

+ 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 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 focuses on delivering value-added capabilities to our clients.

At TD Securities, 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’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.

The TDS Operations Analyst III will act as a cross functional process analyst, conduct research, analysis and reporting on a range of operational and service issues. Executes on critical projects and strategic special initiatives within a defined functional area that may require broader partnership across TDS and/or other TD enterprise functions. Enhances management decision making on policies, processes, products and services based on insights generated from analytics and reporting to advance the operating model / processes and elevate service quality. Facilitates the implementation of policies/processes and/or initiatives to meet functional objectives.

Depth & Scope:

+ Advanced knowledge and understanding of the operating environment, business processes and procedures, and transaction lifecycle for own area (e.g., processing environment, applications, software, hardware, products)

+ Experienced level of the role with general business and operational knowledge or related skills required

+ Ability to execute on ad-hoc standard and non-standard processes and requests of medium to high complexity with high-risk/financial impact

+ Identifies and investigates non-standard operational/reporting/ process issues

+ Provides recommendations or escalates issues to appropriate area

+ Provides regular analysis and/or reporting to support business partners, functional areas or centres of expertise

+ Requires working professional level knowledge of the functional area and/or business areas supported

+ Moderate level of complexity in operational/reporting/process and/or analysis function requiring a short to medium term focus

+ May operate as a working lead on initiatives as assigned

+ May represent the group as a project lead on initiatives/projects and/or at meetings across the organization.

+ Provides training to others on best practices, processes, etc. as well as guide junior staff for the completion of business as usual functions

+ Ability to support multiple functions within the broader businesses

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.

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 and recognition. Learn more (http://hrportal.ehr.com/tdtotalrewards)

Additional Information:

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [email protected] . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.