TD · 1 week ago
Head, of Finance, TD Securities (US) – US Regulatory Reporting
New York, New York
Full-time
Hybrid
Director/Executive
$225K/yr - $285K/yr
7+ years expTD is a financial services company offering capital markets products and services. The Head of Finance for TD Securities USA will oversee regulatory reporting and management for the Broker Dealer, ensuring compliance with various financial regulations and leading related initiatives.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
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
Qualification
Required
Bachelor degree in Business/Accounting/Financial Management
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 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
Preferred
Accounting designation is preferred but not required
CPA qualified
Professional Licenses: Series 27
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
H1B Sponsorship
TD has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2022 (1)
2020 (6)
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
Investment News
2026-01-16
2026-01-16
2026-01-11
Company data provided by crunchbase