Staff
TD Securities · Belfast, United Kingdom · On-site
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Prepare and review broker dealer regulatory reports including daily SEC Rule 15c3-3 customer protection and FOCUS filings.
Worth knowing: Experience with Axiom, Broadridge, Alteryx or PowerBI is a plus
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 .
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