Broker Dealer Accountant

Work Location:

Hours:

Line of Business:

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:

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).

Job Description:

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;

• Identity 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 polices 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.

Who We Are

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.