At a Glance
- Tasks: Support regulatory reporting and enhance processes in a dynamic finance environment.
- Company: Join TD Securities, a leading global financial institution with a focus on client experience.
- Benefits: Enjoy competitive salary, health benefits, career development, and a supportive workplace.
- Other info: Opportunities for growth and a commitment to diversity and inclusion.
- Why this job: Make a real impact in finance while developing your skills and building relationships.
- Qualifications: Finance/accounting degree or relevant experience; strong analytical and communication skills.
The predicted salary is between 30150 - 36850 £ per year.
Work Location: Belfast, United Kingdom
Hours: 35
Line of Business: Personal & Commercial Banking
Pay Details: We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.
Job Description:
The Regulatory Reporting Team is an integral part of the overall Finance – Accounting Function within TD Securities and its subsidiaries which supports the reporting responsibilities for the different US regulated entities as well as providing key metrics internally for management of business, risk and control purposes. The team is responsible for the regulatory policy development and the related reporting production risk controls/processes as it relates to overall FOCUS reporting, net capital and customer protection as well as maintaining key relationships with both internal and regulatory stakeholders (SEC/FINRA/NFA/External Audit).
The primary purpose of this Analyst role is to provide support to TD Securities US Regulatory team with the preparation and analytical review of the daily SEC Rule 15c3-3 Customer Protection as well as assist with FOCUS and Net capital related needs. The role will also entail supporting surrounding on-going initiatives of the group, assisting with engagement with internal and external stakeholders including senior management, regulators and external audits.
Key Accountabilities:
- Assist in the Weekly Customer Protection 3-3 Calculation, while working to build to a daily process
- Identify opportunities to enhance the production process through efficiencies, and strengthen the reporting control framework through automation
- Optimize the regulatory reporting results into useful analytics for internal management purposes, primarily relating to customer protection lock up
- Assist the broker regulatory team in the monthly filing of the FOCUS and respective supplemental reports: SSOI, SLS, OBS, Form Custody, SIPC, FR2004
- Ability to build relationships across teams – Operations, Product Control, Regulatory Reporting, Compliance, etc.
- Ensure policies and procedures documents (SOPs) are maintained and updated regularly
Desired Skillset:
- Finance/Accounting related degree and/or a minimum of 1 year relevant finance experience
- Experience in the following areas would be beneficial: Finance industry experience in various relevant roles
- Accounting, Operations, Product Control, Legal entity Double entry book-keeping experience
- High proficiency level across Microsoft suite of products: Excel (Formulas, Pivot tables, Macro knowledge)
- Working knowledge of Axiom (Adenza)
- Broadridge BPS and Broadridge NAPE/IMPACT and other regulatory system functionalities is a plus
- Advance working knowledge and experience in the financial and regulatory aspects of broker dealers, specifically in 15c3-3, along with the business, product, operational and institutional knowledge
- Automation skills via Alteryx & PowerBI is a plus
- Communicate with senior management regarding specific drivers and variances associated etc.
- Detail-oriented and analytical, with the ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance
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.
If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behaviour. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care.
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative.
Broker Dealer Accountant employer: TD Execution Services Limited
TD Securities is an exceptional employer located in Belfast, offering a dynamic work environment that prioritises employee well-being and professional growth. With a comprehensive Total Rewards package, including health benefits, career development opportunities, and a commitment to diversity and inclusion, colleagues are empowered to thrive both personally and professionally. The supportive culture fosters collaboration and innovation, making it an ideal place for those looking to make a meaningful impact in the financial sector.
Contact Details:
TD Execution Services Limited Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Broker Dealer Accountant
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We think you need these skills to ace Broker Dealer Accountant
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to TD Execution Services Limited.
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How to prepare for a job interview at TD Execution Services Limited
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with TD Execution Services Limited.
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✨Network with Industry Professionals
Before your interview, reach out to current or former TD Execution Services Limited employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
