Head of Finance, US Regulatory Reporting

About This Role

This role involves leading the US regulatory reporting for TD Securities, specifically focusing on the Broker Dealer. The Head of Finance will oversee regulatory compliance, financial reporting, and act as a key liaison for internal and external stakeholders.

Responsibilities

• Oversee and be responsible for regulatory reporting for the Broker Dealer (FOCUS, 15c3-3, daily net capital etc.) and the non-Bank FRB reporting (FRY-7N).
• Oversee Broker Dealer’s annual accounts.
• Be responsible for Broker Dealer management reporting.
• Produce monthly packs for Broker Dealer Committee and act as delegate for CFO for this and other forums.
• Represent Finance at Broker Dealer Board meeting and other key senior management meetings.
• Act as key contact for external audit and FINRA reviews.
• Liaise with Toronto and Business Leaders on projects and new product initiatives.
• Lead manager on all Broker Dealer related requests.
• Document, manage and implement all associated controls and governance.
• Integrate controls and processes with regulatory reporting with the wider TD business model.
• Meet requirements of SEC, monitoring and implementation of new rules (17a-5 etc.).
• Be responsible for 17H production and monitoring and liaison with regulator.
• Manage internal audit reviews and queries.
• Understand and implement changes to US GAAP and IFRS.

Requirements

• 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
• CPA qualified
• Professional Licenses: Series 27

Qualifications

• Bachelor degree in Business/Accounting/Financial Management
• 7+ years related experience, previous experience in a Financial Controller function

Benefits

Certifications