דרושים Operations Analyst ב-United States, South Carolina, Greenville

Regular or Temporary:

English (Required)

Essential Duties and Responsibilities

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

Required Qualifications:

The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Bachelor’s degree in Accounting, Finance, Mathematics, or Economics, or equivalent education and related training or experienceFive or more years of Experience in a related field.Advanced understanding of Arithmetic and Accounting concepts (concepts, not rules).Ability to work in changing and high volume environment.Professional Oral and Written Communication Skills.Advanced Level Computer Skills, such as Microsoft Office, web conferencing, and other software products.Demonstrated ability to listen, ask questions, and comprehend new or complex matters.Self-starter with ability to manage time wisely and work on multiple projects at a time.Conflict resolution skills.Root cause analysis to identify causes of problems and provide potential solutions.

Visual / Audio / Speaking

Able to access and interpret client information received from the computer and able to hear and speak with individuals in person and on the phone.

Job Description:

The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This role assists in the regulatory oversight for TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI).

The Central Supervision Analyst performs essential trade surveillance and electronic communications monitoring functions. This role performs these monitoring functions, including the escalation of identified trades, trends/patterns, and flagged electroniccommunications.

This role works closely with the supervision, operations, compliance, and risk departments of the US Wealth organization.

Depth &Scope:

• Performs various monitoring activities including trade and electronic communication reviews on a day-to-day basis, adhering to established SLAs
• Reviews and dispositions flagged trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system and escalates matters to the field supervision team
• Reviews and dispositions identified electronic communications, including email, texting, and social media and escalates matters to the field supervision team
• Performs employee trade monitoring and other supervisory functions delegated to the Centralized Supervisory Unit
• Prepares various trend reporting used by the field supervision team in their oversight of Firm business to help identify trends areas of concern
• Responds to inquiries, both internal and external, to produce various evidence of performed activities, as needed
• Assists with the development and maintenance of the department's written supervisory and desktop procedures
• Proactively identifies areas for process improvement and/or enhanced risk identification

Education & Experience:

• College degree or equivalent experience required.
• 5+ years of Brokerage industry experience
• FINRA Series 7 Required
• FINRA Series 24 Required (or FINRA Series 9/10) (Required or ability to obtain within scheduled time)
• State Life & Health Insurance License (Preferred)
• FINRA Series 65 or 66 (Preferred)
• FINRA Series 63 (Preferred)
• Computer skills: In addition to MS Office software, experience in platform systems preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Smarsh, Sprinklr, etc.)
• Ability to communicate effectively with all levels of staff and management.
• Ability to prioritize and multi-task with a high degree of accuracy.
• Ability to solve problems in a fast paced & ever-changing regulatory environment.
• Effective organization, time management, and follow up of work.
• Ability to obtain additional licensing, as required

OCC Language:

• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to
  investigate
  the good character, business reputation, qualifications and experience of an applicant for registration
  before
  applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to
  verify
  the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.
• Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, andstatements/certificationfrom job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional.
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous.
• Reading, writing and comprehending instructions – Continuous.
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Our Total Rewards Package

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.

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

Regular or Temporary:

English (Required)

Essential Duties and Responsibilities

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

Required Qualifications:

The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

High School Level or Equivalent Work ExperienceBasic understanding of Arithmetic and Accounting concepts (concepts, not rules)Ability to work in changing and high volume environmentEffective Oral and Written Communication SkillsBasic Computer Skills, such as Microsoft Office, web conferencing, and other software productsDemonstrated ability to listen, ask questions, and comprehend new or complex matters

Up to 25 lbs.

Visual / Audio / Speaking

Able to access and interpret client information received from the computer and able to hear and speak with individuals in person and on the phone.

Depth & Scope:

• Works independently as the senior analyst /subject matter expert and may coach and educate others
• Considered a subject matter expert within a given area
• Oversees and/or independently performs tasks from end to end
• Focus on short to medium -term issues (e.g. monthly-quarterly)

Education & Experience:

• Undergraduate degree
• 5 + years relevant experience

Preferred Qualifications:

• Data & Analysis Reporting (Advanced Excel, SQL proficiency, data visualization tools, statistical and trend analysis, ETL & Data Cleansing)
• Mortgage Servicing & Compliance Knowledge (investor & insurer guidelines, regulatory compliance, default and Loss mitigation processes, escrow, Payment processing
• Surveillance & Early Warning Indicators ( Business process modeling, robotic process automation, API & system integration, automated reporting and dashboard creation)
• Investigation and Root Cause Analysis
• Regulatory & Risk Management Skills
• Communication & Stakeholder engagement experience

Customer Accountabilities:

• Provides specialized business management related advice/support to management / leadership and respective teams for area(s) of specialization with industry, external and internal, enterprise and business awareness; understand trends, identify issues and opportunities and provide recommended action to management
• Leads on the implementation of initiatives in support of the overall business/function strategy
• Manages a set of business management work activities requiring coordination across multiple areas
• Supports / manages the integrated implementation of policies/processes / procedures / changes across multiple functional areas
• Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization, and where necessary participate in identifying, designing and testing solutions and supporting implementation activities

Shareholder Accountabilities:

• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level
• Develops and deliverspresentations/communicationsto management or broader audience
• Adheres to internal policies/procedures and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying potential opportunities to improve operational efficiencies
• Identifies variances and contributes to the analysis, due diligence and implementation of initiatives and/or business operations within defined area of responsibility
• Supports developmentand/or/implementationof standards, policies, procedures, and solutions that mitigate risk and maximize availability of service, efficiency and effectiveness

Employee/Team Accountabilitites:

• Continuously enhances knowledge/expertise in own area
• Keeps current on emerging trends/developments and grow knowledge of the business, analytical tools and techniques
• Prioritizes and manages own workload to deliver quality results and meets assigned timelines
• Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely interest
• Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
• Establishes effective relationships across multiple business and technology partners, program and project managers
• Participates in knowledge transfer within the team and business units

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Our Total Rewards Package

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.

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