Director-Broker Dealer Regulatory Reporting
TD Bank Group(6 days ago)
About this role
The Director of Broker-Dealer Regulatory Reporting at TD Securities oversees all U.S. regulatory financial reporting and capital compliance for the broker-dealer. The role involves ensuring accurate and timely filings under SEC and FINRA rules, serving as a subject-matter expert, and liaising with regulators, auditors, and internal teams.
Required Skills
- SEC Rules
- Financial Reporting
- Regulatory Filings
- Capital Management
- Broker-Dealer Operations
- Compliance
- SEC Rules 15c3-1
- SEC Rules 15c3-3
- FINRA
- Audit Management
Qualifications
- Bachelor’s degree in Accounting or Finance
- 10+ years of experience in broker-dealer regulatory reporting
- Hands-on expertise with SEC Rules 15c3-1 and 15c3-3
- Experience with SEC/FINRA filings
- Strong understanding of broker-dealer operations
About TD Bank Group
td.comExplore TD's online banking services, credit cards, checking accounts, savings accounts, loans and more financial products for you and your business.
View more jobs at TD Bank Group →Apply instantly with AI
Let ApplyBlast auto-apply to jobs like this for you. Save hours on applications and land your dream job faster.
More jobs at TD Bank Group
Similar Jobs
Broker Dealer Regulatory Reporting VP
Barclays(1 month ago)
Broker Dealer Regulatory Reporting Analyst
Barclays(1 month ago)
Director, Broker-Dealer Operations
Betterment(1 month ago)
Compliance Specialist
Allworth Financial(3 days ago)
Senior Accountant
Our Group(1 month ago)
Broker Dealer Regulatory Director
Barclays(8 months ago)