Director Broker Dealer Reporting

Overview

• Lead regulatory reporting and governance for broker-dealer entities, ensuring compliance with FINRA, SEC, and CFTC regulations.
• Oversee FOCUS reporting, Net Capital, and Customer Protection computations, maintaining alignment with internal control standards.
• Collaborate with cross-functional teams to enhance reporting processes and implement automation initiatives.
• Serve as the senior point of contact during regulatory examinations, coordinating responses and representing entities effectively.
• Develop and lead high-performing teams, promoting accountability and excellence in regulatory reporting.
• Engage with internal and external stakeholders, including senior management and regulators, to ensure compliance and governance.
• Enhance reporting architecture, focusing on data governance and reconciliation controls.
• Implement continuous improvements to strengthen accuracy, traceability, and documentation integrity.

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

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