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VP Broker Dealer Regulatory Reporting
TD BankNew York, NY
Posted Oct 6, 2026
What you’d do
Lead preparation and review of SEC broker-dealer regulatory reports, including weekly customer reserve formula (Rule 15c3-3) and net capital computations (Rule 15c3-1). Full-time role in New York partnering with business units on SEC and FINRA compliance. Found on the employer's careers page on Oct 18, 2026. Apply through the link.
You’ll need
- Series 27 license or willingness to obtain
- Experience with Rule 15c3-1 and 15c3-3 reporting
- Proficiency with BPS (Broadridge Processing System)
- Experience with Axiom SL regulatory reporting platform
- Broker-dealer regulatory reporting experience
Our summary of the listing. The full listing has the details.