Manager Finance Risk and Controls

Industry: Finance & Insurance


5 - 7 years

Posted 41 days ago


This role is responsible for day-to-day management of TDA's overall compliance program for SOX and SEC Rule 17a-5 and related reporting to ensure compliance with applicable policies, procedures, laws and regulations. Role also acts as a risk consultant for Finance on a variety of projects and a Finance representative for overall risk programs for the Company. This position offers the opportunity to interact with leaders from across the TD Ameritrade enterprise.


  • Maintain risk-based SOX and 17a-5 compliance programs in coordination with Director, Finance Risk & Controls
  • Coordination of the program with impacted areas both inside and outside of Finance, including identifying impacted areas, documenting processes, identifying key controls, and ensuring testing of controls is adequate.
  • Evaluate deficiencies to determine level of impact and report accordingly
  • Coordinate program with external auditor for maximum reliance and efficiency
  • Produce reports and present observations, recommendations, and management action plans. Identify key trends.
  • Engages in consulting projects and provides advisory services to Finance teams and other business units related to financial risk and controls.
  • Develop relationships with key business leaders, demonstrating a solid understanding of the industry and SOX & 17a-5 requirements.
  • Regularly meet with key business leaders in Finance to stay informed of organizational changes; regulatory impacts; key, changing and/or emerging risks.
  • Participate in projects associated with the roll out of new accounting standards.
  • Provides support for strategic Finance department projects and provides advisory services to Finance management on process redesign, major system initiatives, control framework, etc.
  • Provides coaching/mentoring to strengthen analyst and key business partner competencies
  • Communicates expectations of work assigned and provides immediate and direct feedback on performance in relations to those expectations.
  • Provides solid leadership that exemplifies the Company core values and leadership expectations.


  • 4 Year College Degree in Accounting, Finance, or related preferred
  • 5-7 years Equivalent Experience
  • CPA preferred
  • Series 27 preferred (or ability to obtain within a year)
  • Leadership experience
  • Knowledge of broker/dealer business models; regulatory requirements; and key processes, controls and exposure areas
  • Knowledge of financial and business information systems.
  • Knowledge of Sarbanes-Oxley and SEC Rule 17a-5 and the ability to apply key requirements in evaluating against business
  • Must be able to communicate effectively (orally and written) with professionalism and possess strong presentation skills among all levels of management. Can balance diplomacy with assertiveness and hold difficult or sensitive discussions with confidence, while gaining and/or maintaining the trust of others. Is articulate and composed when delivering difficult messages to clients.
  • Proven ability to lead projects and initiatives that drive performance.
  • Proven ability to critically assess, drive action, and deliver meaningful results in a high-paced environment.
  • High level of technical and analytical capabilities, skilled at decision-making under uncertainty, combined with a common sense approach.
  • Must be able to prioritize tasks according to importance and be detail oriented and complete work in a timely, accurate and complete manner.
  • Strong work ethic, initiative, teamwork and flexibility to assist department in meeting organizational goals.
  • Military education or experience may be considered in lieu of civilian requirements listed