Broker Dealer Accountant

Work Location:

Belfast, United Kingdom

Hours:

35

Line of Business:

Personal & Commercial Banking

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 busine ss,   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   regulator y   stakeholders (SEC/FINRA /NFA/External Audit ).  

Job Description :  

The primary purpose of this   A nalyst   role is to provide   support   to   TD Securities   US   R egulatory team   with   the   prepar a tion   and analytical review of the   daily   SEC Rule 15c3-3   Customer   Prote ct ion   as well as a ssist with FOCUS and Net capital related needs .   The role will also entail support ing   surrounding on-going initiatives   of the group, assisting with engagement with internal and external stakeholders including senior management, regulat ors and external audits.   

Key Accountabilities:  

• Assist in the Weekly Customer Prote c tion 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 /Account ing   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   role s ;   A ccounting,   O perations,   Product Control, L egal entity    

• Double entry b ook-keeping experience  

• High proficiency level across Microsoft suite of products: Exce l (Formulas, Pivot tables, Macro   k nowledge) ;  

• W orking   k nowledge of Axiom (Adenza) ;  

• Broadridge   BPS and   Broadridge NAPE/IMPACT   and   other regulatory system functionalit ies is a plus;  

• Advance working knowledge and experience in the financial and regulatory aspects of broker dealers,   specifi c ally   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   advance d   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.