Director, Financial Control & Regulatory Reporting

Posted 2 days ago

bruinNew York (NY)

Treasurers and Controllers Investment Banking and Securities Intermediation

SENIORITY

Manager

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About the role

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 15c 3-1 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.

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