VP Broker Dealer Regulatory Reporting
Quick Summary
Work Location:New York, New York, United States of America Hours:40 Line of Business:Finance Pay Detail:150,000 - 195,
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial responsibility rule reporting, primarily the customer protection reserve formula under rule 15c3-3 but not excluding net capital computations under Rule 15c3-1. The VP will serve as a subject matter expert across regulatory reporting disciplines and will partner closely with business partners to ensure full compliance with applicable SEC and FINRA requirements, requires both technical mastery of the rules and strong operational judgment.
Direct the preparation and review of the weekly customer reserve formula computation and PAB reserve formula under Rule 15c3-3.
Manage the timely funding of the Special Reserve Bank Account and ensure all deposits/withdrawals are executed in accordance with Rule 15c3-3 requirements.
Monitor and analyze changes in net capital levels, reserve requirements, and related metrics; escalate issues to senior management as appropriate.
Oversee the monthly net capital computations under SEC Rule 15c3-1, ensuring accurate haircut calculations, deductions, and allowable asset classification.
Leverage regulatory reporting platforms—including BPS (Broadridge Processing System) and Axiom SL—to streamline data aggregation, computation, and reporting workflows.
Partner with Technology teams to enhance system controls, automate manual processes, and improve data integrity across the regulatory reporting infrastructure.
Evaluate and implement improvements to reporting systems, internal tools, and reconciliation processes.
Serve as a subject‑matter expert during business change initiatives (e.g., client migrations, product launches, booking‑model changes, system conversions, or legal‑entity reorganizations).
Assess regulatory capital and reserve impacts of new activities, financing structures, or balance‑sheet movements and provide clear guidance to stakeholders.
Design and maintain strong control frameworks around regulatory capital and reserve processes, including key reconciliations, tolerance thresholds, and documented review evidence.
Bachelor's degree in accounting, Finance, or a related field.
7–12+ years of experience in broker‑dealer regulatory reporting, financial control, or regulatory capital functions.
Deep, hands-on expertise with SEC Rule 15c3-1 (Net Capital) and Rule 15c3-3 (Customer Protection), including computation mechanics, 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.
Excellent analytical, organizational, and communication skills with ability to present complex regulatory matters to senior stakeholders.
Nice to Have
~1 min readProficiency with BPS (Broadridge Processing System) for regulatory data processing and net capital reporting.
Experience with Axiom SL regulatory reporting platform, including configuration, data mapping, and report generation.
Series 27 (Financial and Operations Principal) license, or willingness to obtain.
Experience supporting prime brokerage, clearing businesses and/or arranged financing activities.
Prior VP‑level responsibility or demonstrated readiness to operate independently in a senior individual‑contributor role.
Requirements
~1 min readNever: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
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.
What We Offer
~1 min readIf you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Location & Eligibility
About this job
- Who can apply
- United States
- Posted
- Today
Listing Details
- First seen
- November 8, 2026
- Last seen
- November 8, 2026
Posting Health
- Days active
- 0
- Repost count
- 0
- Trust Level
- 51%
- Scored at
- November 8, 2026
Signal breakdown
Similar Regulatory jobs
View all →Browse Similar Jobs
Stay ahead of the market
Get the latest job openings, salary trends, and hiring insights delivered to your inbox every week.
No spam. Unsubscribe at any time.