Director, Financial Control & Regulatory Reporting

We are partnering with a global financial institution on a search for a Director within its Finance organization in New York.

This is a senior, hands-on position with responsibility across financial control, broker-dealer accounting and regulatory reporting. The individual will work closely with senior leadership and partner across Finance, Risk, Compliance, Operations and other key stakeholders.

Responsibilities:

• Lead financial control and regulatory reporting activities across multiple legal entities.


• Oversee broker-dealer books and records and ensure a strong financial control environment.


• Manage key regulatory capital calculations and reporting requirements.


• Take ownership of month-end close and general ledger processes.


• Support regulatory, audit, and SOX-related matters.


• Lead and develop members of the Finance team while driving process and control improvements.

Qualifications:

• CPA required


• 10+ years of relevant experience across financial control, regulatory reporting and/or broker-dealer finance.


• Strong understanding of FINRA/SEC broker-dealer requirements.


• Experience with Net Capital / Rule 15c3-1 highly preferred.


• Series 27 preferred; candidates with the ability to obtain the registration may also be considered.


• Strong understanding of capital markets and banking products.


• Strong analytical, communication and leadership skills.