TD Bank
VP Broker Dealer Regulatory Reporting
$150K–$195K
New York, New York · On-site · Director · Full-time · Posted Oct 6, 2026
- Experience
- 7–12+ years in broker-dealer regulatory reporting, financial control, or regulatory capital functions.
- Education
- Bachelor's degree in accounting, Finance, or a related field.
About the job
Leads broker-dealer regulatory reporting, including SEC customer protection reserve and net capital computations, filings, controls, and related systems and change initiatives.
What you'll do
- Direct preparation and review of weekly customer and PAB reserve computations, monthly net capital computations, and timely reserve-account funding.
- Oversee regulatory reporting controls and systems, improve workflows and data integrity, and assess impacts of business changes on capital and reserves.
- Prepare and review FOCUS Reports and other FINRA/SEC filings; advise stakeholders on regulatory requirements and escalate issues.
What they ask for
- Bachelor's degree in accounting, Finance, or a related field.
- Deep hands-on expertise with SEC Rules 15c3-1 and 15c3-3, including computations, exemptions, and compliance obligations.
- Demonstrated experience preparing and reviewing FOCUS Reports and other FINRA/SEC financial filings.
- Strong understanding of broker-dealer operations, including securities clearance and settlement, margin, prime brokerage, and securities lending.
Nice to have
- Proficiency with BPS (Broadridge Processing System) and experience with Axiom SL.
- Series 27 license or willingness to obtain.
Pay
150,000 - 195,000 USD (base salary)
Tools
BPS (Broadridge Processing System), Axiom SL
Model-written summary · the original posting is authoritative