Fixed Income Settlements Analyst

Fixed Income Settlements Analyst

Requirements

• 3+ years’ experience within Capital Markets: Operations/Settlements Organization
• Strong knowledge of Excel, Vlookup, Pivots and other requirements
• Able to work in a fast pace, deadline sensitive environment and possess good communication skills
• A self-starter who is comfortable in a complex role that interfaces regularly with clients, front office, technology, finance, and trade support teams
• Strong product knowledge including rollout and integration, accompanied with a strong lean mentality
• A proven risk assessment and management skill set, fostering a zero tolerance policy for poor integrity and risk taking
• A clear communication style
• Escalation awareness
• A strong front-to-back ownership mentality
• Multi-tasking skills and the ability to prioritize amidst competing / conflicting priorities
• Excellent analytical/problem solving skills and a sense of urgency regarding responsibilities
• Able to take ownership of the design and operating effectiveness of key controls and processes
• On top of industry and market driven initiatives to understand risks and impacts
• Responsible and accountable for delivery of key objectives within your immediate team and the broader Securities Settlement function
• Build strong relationships and work collaboratively within Global Operations and Business Services teams including settlements, new accounts, reference data and change delivery to support the growing Fixed Income business.

Responsibilities

• Manage daily settlement transactions across multiple fixed income products for DTC and FED settlements.
• Responsible for all settlements functions across your set of clients from trade date to settlement date as well as any trade fails, and buy-ins on securities transactions.
• Interact with many operations groups globally in our goal of providing an industry leading level of client service to external clients and internal stakeholders.
• Support stakeholders and develop valuable internal & external relationships with employees.
• Participate in the identification, development and implementation of new products, operating workflow, additional services/applications or operational efficiencies for Global Business Services.
• Identify documents, investigate and resolve service delivery issues.
• Manage relationships with the client, and other areas of TDS / GBS.
• 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 knowledge in the discipline, provide assistance and direction to others in TD Securities.
• Identify, recommend and effectively execute standard practices applicable to the discipline.
• Complete business process reviews as required.
• Participate fully as a member of the team, promote team effectiveness and contribute to a positive work environment.
• Support the team by continuously developing knowledge in own area.
• Participate in performance management and development activities.
• Support change management activities around projects or initiatives undertaken ensures clear communication of new processes.
• Ensure the timely communication of issues that are relevant to the team and encourage a good working relationship with other departments.
• Support the business with consistent application of BSA/AML risk escalation, review and approval processes, KYC due diligence and policies.
• Contribute to the development, implementation and continuous improvement of programs, processes, policies and tools to meet BSA/AML requirements and industry best practices.

Preferred Qualifications

• Bachelor’s degree, or specialized training / equivalent work experience
• 3+ years related experience
• Must possess a complete understanding of the products traded by TD Securities (USA) Inc.
• Must also understand systems interfaces, payment and funding processes, compensation rules, and NASD/SEC issues
• Should be able to work independently with minimal supervision, establish priorities, and possess strong communication, analytical, and problem solving skills
• Solid computer skills are a must.