Senior Finance Analyst

TD•New York, NY

6d•$100,000 - $125,000•Onsite

About The Position

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.

Requirements

Bachelor’s degree in business, accounting, finance, or a related field; accounting proficiency is preferred.
3+ years of financial services experience, preferably in capital markets.
Proven analytical skills and sound judgment in a dynamic business environment.
Ability to translate complex, high-volume reporting requirements, and data into simple, consistent, and sustainable processes.
Demonstrated data aggregation and reconciliation skills.
Strong understanding of process and data governance, with exceptional attention to detail.
Highly motivated, with a proven track record of delivering results.
Curious, intuitive, and logical thinker with a strong interest in identifying and implementing process improvements.
Demonstrated time-management and organizational skills, with the ability to meet tight deadlines and adapt to changing priorities.
Understanding of Wholesale Banking and Capital Markets businesses, products, and related balance sheet and profit-and-loss movements.
Collaborative team player who can also work effectively and independently.
Advanced Microsoft Excel and Access skills are required; knowledge of Alteryx is an asset.
Demonstrated ability to communicate effectively with senior leaders and collaborate laterally with business partners.
Familiarity with regulatory reporting requirements would be an asset.
Confident communicator with strong interpersonal skills and the ability to work effectively with business partners and senior management at all levels.
5+ years of relevant experience preferred.
Accounting, financial or relevant professional designation preferred.

Nice To Haves

knowledge of Alteryx is an asset.
Familiarity with regulatory reporting requirements would be an asset.

Responsibilities

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.