Gregg Fuesel

About Gregg Fuesel

Senior level executive with extensive financial and regulatory experience. Provide…

Experience

1. Chief Financial Officer & Director of Regulatory Reporting

   Td Ameritrade

   Mar 2011 — Present

   Responsible for all the regulatory reporting for TD Ameritrade\'s regulated operations, including- self-clearing operations conducted in the clearing broker-dealer- retail and institutional operations conducted in the introducing broker-dealer- trust operations- international broker-dealer operations- futures FCM and foreign exchange FDM operations, and - any other regulated entities within the consolidated holding company. Position is responsible for making key decisions in the establishment and maintenance of the firm\'s policies and procedures in the highly technical and specialized area of regulatory financial reporting including a central role in the firm\'s strategy in managing its relationship with key regulators. Lead communicator to all regulators regarding regulatory reporting responsibilities and takes a lead role in all regulatory examinations, including the SEC, NFA, CFTC and FINRA. Oversee filing the SEC 15c3-1 net capital and 15c3-3 customer protection documentation along with the daily CFTC and NFA required submissions. Maintain ongoing compliance with highly scrutinized and visible rules and regulations through internal auditing and regulatory examinations. Lead the monthly Regulatory Financial Reporting Committee and consult with outside auditors, general counsel, outside legal counsel, as necessary or appropriate, to assist the committee in perfoming its responsibilities. Provide leadership during financial audits by FINRA, SEC, NFA and CFTC and external accountants. Serve as the primary contact along with compliance when examinations and audits occur. Oversee the following regulatory reports for review and submission: broker-dealer FOCUS reports, weekly 15c3-3 and PAB customer reserve, SEC 17-H, Compliance and Exemption reports, broker-dealer annual audits, trust company RTC Call reports, CFTC 1-FR-FCM report, Federal Reserve Bank reports, and reporting our Asia business to the MAS in Singapore and SFC in Hong Kong.

Skills

• Investments
• Financial Markets
• Investor Relations
• Venture Capital
• Account Reconciliation
• M&a Experience
• Financial Audits
• Internal Audit
• Risk Management
• Auditing
• Capital Markets
• Financial Analysis
• Financial Reporting
• Options
• Financial Statements
• Finance
• Corporate Governance
• Investment Banking
• Cash Flow Forecasting
• Accounts Receivable
• Securities
• Hedge Funds
• Asset Allocation
• Analysis
• Alternative Investments
• Cash Flow
• Mergers & Acquisitions
• Gaap
• Credit Analysis
• Mutual Funds
• Corporate Actions
• Consolidation
• Wealth Management
• Internal Controls
• Cash Management
• Equities
• Treasury
• Financial Services
• Accounting
• Fixed Income