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, supporting the reporting responsibilities for different US regulated entities as well as providing key metrics internally for management of business, risk, and control purposes. The team is responsible for regulatory policy development and related reporting production risk controls/processes as it relates to overall FOCUS reporting, net capital, and customer protection, while 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 ongoing 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.
• 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 bookkeeping 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.
• Advanced 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.
• Detail-oriented and analytical, with the ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance.

TD 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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities, and colleagues. TD is deeply committed to being a leader in customer experience, which is why we believe that all colleagues, no matter where they work, are customer facing.

As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realise your potential.

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.

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 committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.