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 commitment to client experience.
- Benefits: Enjoy competitive salary, health benefits, career development, and a supportive work culture.
- Other info: Access to training, mentoring, and diverse career paths for growth.
- 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 40500 - 49500 £ per year.
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.
Work Location: Belfast, United Kingdom
Hours: 35
Line Of Business: Personal & Commercial Banking
Analyst – Finance Accounting - Broker Dealer Regulatory Reporting
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.
TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package:
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well‑being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well‑being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.
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.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
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 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.
Broker Dealer Accountant employer: TD Securities
TD Securities is an exceptional employer, offering a dynamic work environment in the heart of London, where associates can thrive in corporate investment banking. With a strong commitment to employee growth, we provide opportunities for professional development and encourage open dialogue about compensation and career progression. Our collaborative culture fosters teamwork across borders, ensuring that every team member contributes to delivering integrated solutions for our prestigious European client base.
StudySmarter Expert Advice🤫
We think this is how you could land Broker Dealer Accountant
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like TD Securities. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
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 Securities.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on TD Securities's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at TD Securities
✨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 Securities.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at TD Securities will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former TD Securities 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.
