Senior Finance Analyst
TDAbout the role
Work Location:
New York, New York, United States of AmericaHours:
40Line of Business:
TD SecuritiesPay Detail:
$100,000 - $125,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
Position Title: Senior Finance Analyst
Business Unit: TD Securities
Division/Region: TD Securities USA (New York)
Report Location: In Office
Hours: M – F
8:30 – 5:00
Overview
The Broker Dealer Regulatory Reporting Team is a key function within TD Securities Finance and is responsible for supporting the regulatory reporting obligations of the firm’s U.S. regulated broker-dealer entities. The team prepares and reviews core regulatory calculations and filings, including FOCUS reporting, Net Capital, and Customer Protection requirements, while maintaining the related policies, processes, controls, and governance needed to support accurate and timely reporting. In addition, the team provides management with key regulatory metrics to support business oversight, capital management, risk monitoring, and control objectives, and serves as a primary point of contact for internal stakeholders, regulators, external auditors, and other exam-related inquiries.
Specific Accountabilities Include:
Prepare and take the lead on daily, weekly and monthly regulatory reporting calculations and filing deliverables, including FOCUS, Net Capital, and Customer Protection requirements, for U.S. regulated broker dealer entities.
Assist in the monthly filing of the FOCUS and respective supplementals; SSOI, SLS, OBS, Form Custody.
Identify opportunities to enhance the production process through automation and efficiencies as well as contribute towards evolving the collaboration model across functional areas within and outside of Finance.
Optimize the regulatory reporting results into useful analytics for internal management purposes of capital usage and customer protection lock up.
Assist with the flow of regulatory exams and audits involving the regulated entities.
Participate in various team projects & initiatives in translating the tactical regulatory reporting processes into the desired strategic automated state
Specific Requirements / Accreditations:
Bachelor’s
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