Head of Regulatory Reporting

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Compliance, Fincrime, & Risk Management | Talent Acquisition, Relationship Building

Overview:

A global investment bank is seeking an experienced and strategic leader to serve as the Head of Regulatory Reporting. This individual will oversee all aspects of U.S. broker-dealer regulatory reporting and drive process enhancements, governance, and compliance with SEC and FINRA requirements. This is a high-impact leadership role with cross-functional visibility and responsibility for the firm’s compliance with SEC Rules 15c3-1, 15c3-3, 17a-5, and related filings.

Key Responsibilities:

• Lead the Regulatory Reporting team in the preparation, review, and submission of all broker-dealer regulatory filings, including:
• FOCUS Reports (SEC Rule 17a-5)
• Customer and PAB Reserve Formula Computations (SEC Rule 15c3-3)
• Net Capital Computations (SEC Rule 15c3-1)
• Maintain and enhance internal control frameworks to ensure compliance with SEC and FINRA Financial Responsibility Rules.
• Oversee regulatory interpretations for new business initiatives; advise senior leadership on implications for net capital and reserve requirements.
• Act as key liaison with FINRA, the SEC, and internal/external auditors during examinations and audits.
• Drive automation and process improvement initiatives within the regulatory reporting function.
• Manage, mentor, and develop a high-performing team of regulatory reporting professionals across geographies.
• Ensure that written policies and procedures are current, complete, and aligned with evolving regulatory standards.
• Participate in industry working groups and stay abreast of rule changes, best practices, and emerging risks.

Qualifications:

• 10+ years of progressive experience in broker-dealer regulatory reporting within investment banking or public accounting.
• Deep expertise in SEC Rules 15c3-1 and 15c3-3, and FOCUS reporting (Rule 17a-5).
• Strong understanding of U.S. broker-dealer financial responsibility rules and related regulatory filings.
• FINRA Series 27 license (or ability to obtain shortly after hire).
• Bachelor’s degree in Accounting, Finance, or related field; CPA preferred.
• Proven leadership and people management experience; ability to lead a team in a high-pressure environment.
• Strong Excel and data analysis skills; experience with regulatory reporting systems (e.g., WolfPAC, Reg Insight, or in-house tools) a plus.
• Excellent communication and stakeholder management skills, with the ability to present clearly to executive leadership and regulators.

Seniority level

• Seniority level Director

Employment type

• Employment type
  
  Full-time

Job function

• Job function
  
  Finance and Accounting/Auditing
• Industries Financial Services and Investment Banking

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