Broker-Dealer Regulatory Reporting Analyst

TD Execution Services Limited; Belfast City; On-site; GBP 36,000 - 52,000; Full time

Benefits offered by this job

Competitive benefits

Career development

Job summary

TD Securities in Belfast seeks an Analyst – Finance Accounting to support US regulatory reporting and daily 15c3-3 customer protection calculations. You will assist with FOCUS, Net Capital, and related disclosures, and collaborate with internal and external stakeholders.

The role requires a finance or accounting background with 1+ year experience, strong Excel skills, and familiarity with regulatory systems. Opportunities exist to enhance processes through automation and robust controls.

Qualifications

• Finance or accounting degree or 1+ year relevant experience.
• Strong Excel skills; familiarity with Power BI and regulatory tools is a plus.
• Knowledge of broker-dealer regulatory reporting (15c3-3) is beneficial.

Responsibilities

• Assist in Weekly Customer Protection 3-3 calculation and move toward daily process.
• Identify opportunities to enhance production through automation and process improvements.
• Support FOCUS and Net Capital reporting, including SSOI, SLS, OBS, and related disclosures.
• Engage with internal teams, regulators and external audits on reporting requirements.
• Maintain SOPs and documentation for controls and processes.

Skills

Finance/Accounting degree

Regulatory reporting

Excel expert

Power BI

Education

Bachelor's degree in Finance/Accounting

Tools

Excel

Axiom (Adenza)

Broadridge BPS

Broadridge NAPE/IMPACT

Job description

TD Securities in Belfast seeks an Analyst – Finance Accounting to support US regulatory reporting and daily 15c3-3 customer protection calculations. You will assist with FOCUS, Net Capital, and related disclosures, and collaborate with internal and external stakeholders.

The role requires a finance or accounting background with 1+ year experience, strong Excel skills, and familiarity with regulatory systems. Opportunities exist to enhance processes through automation and robust controls.