Regulatory Reporting & Finance Controls, Director

We are looking for an experienced finance and regulatory reporting specialist to join our team in New York, New York. This role will focus on strengthening finance controls, overseeing broker-dealer regulatory reporting activities, and supporting accurate, compliant financial operations. The position offers the opportunity to work closely with Finance, Operations, Compliance, and external auditors while contributing to process enhancements and high-impact regulatory initiatives.

Responsibilities:

• Strengthen and maintain financial control activities across core accounting and reporting processes to support a reliable control environment.
• Prepare and review Rule 15c3-3 reserve calculations and related regulatory submissions with a strong focus on accuracy and timeliness.
• Coordinate with internal and external auditors during control testing, financial statement audits, and regulatory examinations.
• Partner with Finance leadership on regulatory projects, reporting initiatives, and other priority assignments.
• Collaborate cross-functionally with Operations, Compliance, and accounting teams to address reporting issues and support regulatory readiness.
• Monitor reporting processes and escalate control gaps, exceptions, or compliance concerns as needed.
• Contribute to the ongoing enhancement of close procedures and control frameworks within a broker-dealer environment.
• At least 5 years of experience in regulatory reporting, financial controls, audit, or a related finance function.
• Practical experience with broker-dealer regulatory accounting and control requirements.
• Hands-on ability to prepare or review Rule 15c3-3 reserve formula calculations.
• Working knowledge of SOX or comparable internal control frameworks in a regulated environment.
• Proven ability to work effectively with auditors, compliance partners, and cross-functional stakeholders.
• Series 27 license is preferred, or the ability to obtain it within a reasonable timeframe.
• Public accounting, external audit, or certification such as CPA is a plus.