POSITION SPECIFICATION

POSITION TITLE: Regulatory Reporting Manager

REPORTING TO: Regulatory Reporting Director

LOCATION: Preferred Omaha, Nebraska location - open to Fort Worth, Texas

THE COMPANY: TD Ameritrade Holding Corporation www.tdameritrade.com

TD Ameritrade Holding Corporation, through its brokerage subsidiaries provides a dynamic balance of investment products and services that further the Independent Spirit of individual investors. Listed by Barron's as the #1 Web browser-based online broker and Forbes as one of America's best big companies, the Company's full spectrum of services include a leading active trader program and long-term investor solutions, including a national branch system, as well as relationships with one of the largest networks of independent registered investment advisors.

SCOPE AND RESPONSIBILITIES:

The Regulatory Reporting Manager will review the firm’s net capital and customer reserve computations for compliance with SEA Rule 15c3-1 and 15c3-3. This Manager will have a working knowledge of a broker/dealer operations area along with a broad understanding of the accounting concepts of a brokerage firm.

Specific Responsibilities:

• Manage the financial aspect of regulatory examinations of FINRA, SEC and other regulatory organizations.
• Manage the regulatory reporting functions including supervision and review of net capital and reserve computations.
• Manage/mentor/develop two staff analysts on the Regulatory team.
• Interface with operations personnel in the collection of data necessary to support timely and accurate regulatory reporting.

EXPERIENCE REQUIRED:

The Regulatory Reporting Manager should have at least 5 plus years of broker/dealer regulatory reporting, specifically to include 15c3-1, 15c3-3 plus experience in brokerage accounting. FOCUS background to include reserve computations.

PERSONAL ATTRIBUTES:

• Demonstrated ability to lead, motivate and develop associates.
• Outstanding organization skills and has the ability to manage multiple simultaneous tasks.
• Ability to work independently, think creatively and is a self-starter.
• Tests the details and has the ability to perform thorough self-review of completed work.
• Meets deadlines in a consistent manner.
• Brings solid written and verbal communications skills.

EDUCATION:

Bachelor’s degree with major in accounting or finance
Series 27 license (Financial and Operations Principal) held or has the ability to attain within 6 months.

CONTACT INFORMATION:

Candace Doorley
Senior Account Manager
Chicago, Illinois
312-627-9301 x3214
312-627-9302
cdoorley@jobplex.com