Director Broker Dealer Reporting

Overview

• Lead regulatory reporting for broker-dealer entities, ensuring compliance with FINRA, SEC, and CFTC regulations.
• Oversee FOCUS reporting, Net Capital, and Customer Protection computations, maintaining robust internal control standards.
• Collaborate with cross-functional teams to enhance reporting processes and implement automation initiatives.
• Act as the senior contact during regulatory examinations, coordinating responses and ensuring compliance.
• Develop and lead high-performing teams, fostering accountability, excellence, and professional growth.
• Engage with internal and external stakeholders to ensure adherence to compliance and governance standards.
• Enhance reporting architecture with a focus on data governance, reconciliation controls, and accuracy.
• Implement continuous improvements to strengthen documentation integrity and operational efficiency.

Key Responsibilities & Duties

• Direct the preparation, review, and submission of regulatory filings for broker-dealer entities.
• Establish governance frameworks across reporting processes, ensuring compliance and alignment with policies.
• Coordinate responses to regulatory inquiries, maintaining accuracy and timeliness under scrutiny.
• Collaborate with internal audit teams, providing documentation and implementing remediation plans.
• Lead systems initiatives, including automation and optimization of reporting processes.
• Represent broker-dealer entities in regulatory meetings and internal committees with strategic insights.
• Develop strategic leadership on regulatory matters, advising senior stakeholders effectively.
• Promote a culture of ownership, accountability, and excellence within the reporting team.

Job Requirements

• Bachelor’s degree in Accounting, Finance, or Economics; CPA, CFA, or FRM preferred.
• Active FINRA Series 7 and/or Series 99 license required for compliance roles.
• 12+ years of experience in broker-dealer regulatory reporting or governance.
• Expert knowledge of FOCUS reporting, SEC Rules 15c3-1 and 15c3-3 regulations.
• Strong leadership presence with proven ability to influence senior executives.
• Experience with global financial institutions and regulatory engagements preferred.
• Highly detail-oriented with exceptional control discipline and analytical skills.
• Ability to operate effectively under pressure with complex deadlines and regulatory scrutiny.