Head, of Finance, TD Securities; US - US Regulatory Reporting

Position: Head, of Finance, TD Securities (US) - US Regulatory Reporting
Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Finance

Pay Detail:

$225,000 - $285,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

The Head of Finance, TDS, US Regulatory Reporting reports to the Chief Financial Officer for TD Securities USA and focuses on the reporting of the Broker Dealer. The Head of Finance is responsible for understanding of the Wholesale Banking group and its initiatives and projects, including regulatory reporting for the other US legal entities and the implementation of the requirements under Dodd Frank in particular Section 165, the intermediate holding company rules.

Depth & Scope:

* Oversees and is responsible for regulatory reporting for the Broker Dealer (FOCUS, 15c3-3. daily net capital etc) and the non-Bank FRB reporting (FRY-7N).

* Oversees Broker Dealer's annual accounts

* Responsible for Broker Dealer management reporting

* Produces monthly packs for Broker Dealer Committee and act as delegate for CFO for this and other forums

* Represents Finance at Broker Dealer Board meeting and other key senior management meetings

* Acts as key contact for external audit and FINRA reviews

* Liaises with Toronto and Business Leaders on projects and new product initiatives

* Leads manager on all Broker Dealer related requests

* Documents, manages and implements all associated controls and governance

* Integrates controls and processes with regulatory reporting with the wider TD business model

* Meets requirements of SEC requirements, monitoring and implementation of new rules (17a-5 etc)

* Responsible for 17H production and monitoring and liaison with regulator

* Manages internal audit reviews and queries

* Understands and implements changes to US GAAP and IFRS

Education & Experience:

* Bachelor degree in Business/Accounting/Financial Management (accounting designation is preferred but not required)

* 7+ years related experience

* Sound knowledge of the US business and regulatory environment.

* Previous experience in a Financial Controller function

* Extensive knowledge of regulatory, financial and management reporting

* Demonstrates relationship building, people management and leadership skills with the proven to ability to make things happen through use of impact and influence

* Collaborative, team player with advanced facilitation, presentation and consensus building skills

* Proven analytical skills and sound judgment in a dynamic business environment

* Thorough understanding of Wholesale Banking/Capital Markets businesses

* Demonstrates time management and organizational skills to meet tight deadlines as well as flexibility to adapt to changing priorities

* Confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

* CPA qualified

* Professional Licenses:
Series 27

Physical Requirements:

Never: 0%;
Occasional: 1-33%;
Frequent: 34-66%;
Continuous: 67-100%

* Domestic Travel - Occasional

* International Travel - Never

* Performing sedentary work - Continuous

* Performing multiple tasks - Continuous

* Operating standard office equipment - Continuous

* Responding quickly to sounds - Occasional

* Sitting - Continuous

* Standing - Occasional

* Walking - Occasional

* Moving safely in confined spaces - Occasional

* Lifting/Carrying (under 25 lbs.) - Occasional

* Lifting/Carrying (over 25 lbs.) - Never

* Squatting - Occasional

* Bending - Occasional

* Kneeling - Never

* Crawling - Never

* Climbing - Never

* Reaching…