Director-Broker Dealer Regulatory Reporting
TD Bank Group(5 days ago)
About this role
The Director of Broker-Dealer Regulatory Reporting oversees U.S. regulatory financial reporting and capital compliance for the broker-dealer, ensuring accurate and timely filings under SEC and FINRA rules. This role involves serving as a subject-matter expert, liaising with regulators and internal teams, and leading a team to maintain compliance and manage audits.
Required Skills
- SEC Rules
- Regulatory Reporting
- Financial Reporting
- Capital Management
- Broker-Dealer Operations
- Regulatory Compliance
- Audit Management
- SEC Filings
- FINRA
- Financial Control
About TD Bank Group
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