Broker Dealer Accountant
Core
Support TD Securities US Regulatory team with preparation and analytical review of daily SEC Rule 15c3-3 Customer Protection, FOCUS, and Net Capital reporting.
Role type
Analyst, Finance Accounting (Regulatory Reporting)
Builds
Daily and monthly regulatory filings (FOCUS, SSOI, SLS, OBS, Form Custody, SIPC, FR2004) and internal analytics for management.
Domain
Financial Services / Broker Dealer Regulatory Reporting
Required skills
Double entry book-keeping, SEC Rule 15c3-3 knowledge, FOCUS reporting, Net Capital reporting, Microsoft Excel (formulas, pivot tables, macros), SOP maintenance, stakeholder engagement
Preferred skills
Axiom (Adenza), Broadridge BPS/NAPE/IMPACT, Alteryx, PowerBI, automation, financial industry experience in Operations/Product Control/Legal entity
Technologies
Microsoft Excel, Axiom (Adenza), Broadridge BPS, Broadridge NAPE/IMPACT, Alteryx, PowerBI
Responsibilities
Assist in weekly Customer Protection 3-3 calculation; optimize regulatory reporting results into useful analytics; assist with monthly filing of FOCUS and supplemental reports; maintain and update policies and procedures documents (SOPs); build relationships across Operations, Product Control, Regulatory Reporting, Compliance, and external stakeholders.
Seniority
Junior, Analyst