Director, Financial Controller

My client, a large commercial retail bank, is looking to hire a Financial Director - Broker-Dealer (US Global Markets). The team is looking for a senior finance leader ready to take ownership of financial control, regulatory reporting, and broker-dealer integrity in a highly regulated environment.

• Lead financial control and regulatory reporting, serving as a trusted advisor to senior stakeholders
• Ensure broker-dealer records are accurate, compliant, and capital requirements are met
• Oversee timely, high-quality regulatory and management reporting
• Own month-end close with strong controls and clean financials
• Partner with auditors, regulators, and compliance teams (including FINOP responsibilities)
• Build and lead a high-performing team, driving automation and process improvement

• Deep experience in financial control and regulatory reporting
• Strong knowledge of broker-dealer regulations (FINRA Series 27, Net Capital Rule 15c3-1)
• Background in regulated financial services environments
• Experience supporting FINRA/SEC reporting
• Strong analytical mindset with attention to detail and ability to meet tight deadlines
• Confidence working with senior leadership and cross-functional teams
• Required:
  
  CPA and Series 27
• Salary ranging between $180,000 and $220,000
• Bonus potential up to $80,000
• Family and life support
• Strong financial benefits - 401(k) match and discretionary contribution

For more information, please apply or contact  directly.