Broker Dealer Accountant

CFA Institute • New York, NY, United States • $200k - $250k / year • 4w ago

Work Location:
United States of America

Hours:
40

Line of Business:
TD Securities

Pay Detail:
$150,000 - $180,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs.

Job Description:

TD Securities is looking for a broker-dealer accountant to join its legal entity control division in New York City. TDS Finance - U.S. Controller function for TD's U.S. Wholesale entities, which may include multiple SEC registered broker dealers.

The successful candidate will be responsible for the team's effort in accurate and timely reporting of its IFRS and GAAP books and records and regulatory filings for its U.S. broker-dealers as well as non broker dealers. Specific responsibilities will include, but are not limited to:

Assist in the coordination, preparation and management of our timely month end close.
Review month end balance sheet & income statement for respective product areas ensuring product controllers reconciliations are accurate with respect to correct GAAP & regulatory treatment.
Oversee preparation of financial reporting package to facilitate senior management review as part of the monthly FOCUS process.
Liaise with all external & internal audit counterparts as well as operations and financial operations teams. Responsible for efficiently driving audits to completion.
Help implement strategic technology builds and changes in reporting paradigms, including changes in reports as dictated by management and regulators.
Ensure adherence to corporate governance policies related to End User Computing (EUC), Standard Operating Procedures (SOP) and Account Reconciliation (ARCS)
Analyze financial information with a key focus on control and compliance and addressing new requirements, including new reporting alongside accounting policy.
Understand, manage, book and reconcile transfer pricing and intercompany transactions.
Assist with the integration planning and implementation as TD Cowen looks to fully integrate with TDS.
Assist with the controls over intercompany activity across TDS entities.
Prepare for and assist with monthly close flux analysis meetings
Oversee a team of 3 people as it related to legal entity control and some corporate and financial reporting functions.

Qualifications:

Bachelor's Degree in accounting
8+ year post undergraduate experience preferred
FINRA Series 27 preferred but not required. Working knowledge of broker-dealer regulatory environment is a must.
Understanding of Fixed Income/Equity products a plus
CPA or CFA candidate a plus
Organized, detail oriented and self-motivated individual with strong analytical skills
Highly proficient with Microsoft Excel and knowledge of advanced analytical solutions (Alteryx, UI Path, Power Query, etc..) a plus.
Ability to work within deadlines while still providing a high-quality work product

Depth & Scope:

Gathers and reports on financial results vs. plans on an ongoing basis, providing evaluation and interpretation through an in-depth understanding of the business
Leads development and achievement of financial objectives
Develops and maintains strong business relationships
Provides leadership, coaching, counseling and guidance to staff
Develops, assigns and monitors plans to ensure completion of goals and objectives
Resolves issues and problems by conferring with staff, other internal departments, outside contacts and others as necessary

Education & Experience:

Bachelor degree in Business/Accounting/Financial Management (accounting designation is preferred but not required)
5-7 Years of related experience

Physical Requirements:

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 overhead - Never
Reaching forward - Occasional
Pushing - Never
Pulling - Never
Twisting - Never
Concentrating for long periods of time - Continuous
Applying common sense to deal with problems involving standardized situations - Continuous
Reading, writing and comprehending instructions - Continuous
Adding, subtracting, multiplying and dividing - Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. #J-18808-Ljbffr