Job Description

Job title: Broker Dealer Regulatory Reporting Director

Location: Florham Park, New Jersey or NYC

Office status: 3x a week

Salary: $225,000-240,000 + 20% Bonus

Overview:

Our client — a leading global bank with a strong U.S. presence — is seeking a Regulatory Reporting Director to join its Americas Finance team, focusing on US Broker Dealer Regulatory Reporting within its Financial Control function.

This is a high-impact leadership role with direct exposure to regulators (SEC, FINRA, CFTC), senior stakeholders, and critical strategic initiatives. You’ll be driving oversight, transformation, and compliance across some of the most complex regulatory frameworks in global finance.

Responsibilities:

• Own and lead the monthly FOCUS Report and SEC Rule 15c3-1 Net Capital computation.
• Identify and mitigate prudential regulatory risks across a wide range of banking products and business activities.
• Build and oversee robust internal control frameworks to ensure full compliance with U.S. regulatory requirements.
• Act as a key point of contact for regulatory authorities, fielding inquiries and representing the firm in meetings.
• Partner cross-functionally with Finance, Ops, Legal, Risk, Compliance, and Treasury to streamline reporting and align on regulatory expectations.
• Drive regulatory transformation initiatives, including implementation of new regulations and systems integrations.
• Guide, coach, and develop high-performing teams while embedding a performance-first and compliance-driven culture.

Requirements:

• 10+ years of 15c3-1 Broker Dealer Reg production experience .
• Series 27 is not required but they would encourage them to obtain a license once there.
• Experience managing a team of 5+

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