JOB DESCRIPTION:

The primary purpose of this Analyst role is to provide support to TD Securities US Regulatory team with the preparation and analytical review of the daily SEC Rule 15c3-3 Customer Protection as well as assist with FOCUS and Net capital related needs. The role will also entail supporting surrounding on-going intiatives of the group, assisting with engagement with internal and external stakeholders including senior management, regulators and external audits.

KEY ACCOUNTABILITIES:

• Assist in the Weekly Customer Protection 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/Accounting 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 roles; Accounting, Operations, Product Control, Legal entity
• Double entry book-keeping experience
• High proficiency level across Microsoft suite of products: Excel (Formulas, Pivot tables, Macro knowledge);
• Working knowledge of Axiom (Adenza);
• Broadridge BPS and Broadridge NAPE/IMPACT and other regulatory system functionalities is a plus;
• Advance working knowledge and experience in the financial and regulatory aspects of broker dealers, specifically 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 advanced spreadsheets and solve problems with minimal guidance.

WHO WE ARE

TD 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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Please refer the Job description for details