Head, of Finance, TD Securities (US) – US Regulatory Reporting

TD Bank • New York, NY

3d

About The Position

The Head of Finance, TDS, US Regulatory Reporting reports to the Chief Financial Officer for TD Securities USA and focuses on the reporting of the Broker Dealer. The Head of Finance is responsible for understanding of the Wholesale Banking group and its initiatives and projects, including regulatory reporting for the other US legal entities and the implementation of the requirements under Dodd Frank in particular Section 165, the intermediate holding company rules. Depth & Scope: Oversees and is responsible for regulatory reporting for the Broker Dealer (FOCUS, 15c3-3. daily net capital etc) and the non-Bank FRB reporting (FRY-7N). Oversees Broker Dealer’s annual accounts Responsible for Broker Dealer management reporting Produces monthly packs for Broker Dealer Committee and act as delegate for CFO for this and other forums Represents Finance at Broker Dealer Board meeting and other key senior management meetings Acts as key contact for external audit and FINRA reviews Liaises with Toronto and Business Leaders on projects and new product initiatives Leads manager on all Broker Dealer related requests Documents, manages and implements all associated controls and governance Integrates controls and processes with regulatory reporting with the wider TD business model Meets requirements of SEC requirements, monitoring and implementation of new rules (17a-5 etc) Responsible for 17H production and monitoring and liaison with regulator Manages internal audit reviews and queries Understands and implements changes to US GAAP and IFRS

Requirements

• Bachelor degree in Business/Accounting/Financial Management (accounting designation is preferred but not required)
• 7+ years related experience
• Sound knowledge of the US business and regulatory environment.
• Previous experience in a Financial Controller function
• Extensive knowledge of regulatory, financial and management reporting
• Demonstrates relationship building, people management and leadership skills with the proven to ability to make things happen through use of impact and influence
• Collaborative, team player with advanced facilitation, presentation and consensus building skills
• Proven analytical skills and sound judgment in a dynamic business environment
• Thorough understanding of Wholesale Banking/Capital Markets businesses
• Demonstrates time management and organizational skills to meet tight deadlines as well as flexibility to adapt to changing priorities
• Confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels
• CPA qualified
• Professional Licenses: Series 27

Responsibilities

• Oversees and is responsible for regulatory reporting for the Broker Dealer (FOCUS, 15c3-3. daily net capital etc) and the non-Bank FRB reporting (FRY-7N).
• Oversees Broker Dealer’s annual accounts
• Responsible for Broker Dealer management reporting
• Produces monthly packs for Broker Dealer Committee and act as delegate for CFO for this and other forums
• Represents Finance at Broker Dealer Board meeting and other key senior management meetings
• Acts as key contact for external audit and FINRA reviews
• Liaises with Toronto and Business Leaders on projects and new product initiatives
• Leads manager on all Broker Dealer related requests
• Documents, manages and implements all associated controls and governance
• Integrates controls and processes with regulatory reporting with the wider TD business model
• Meets requirements of SEC requirements, monitoring and implementation of new rules (17a-5 etc)
• Responsible for 17H production and monitoring and liaison with regulator
• Manages internal audit reviews and queries
• Understands and implements changes to US GAAP and IFRS

Benefits

• Growth opportunities and skill development are defining features of the colleague experience at TD.
• Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
• 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.
• 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.
• We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Number of Employees: 5,001-10,000 employees