Regulatory Compliance, Reporting & Surveillance Director

If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process.

Regular Full-Time Professional New York, NY, US

3 days ago Requisition

Salary Range: $ To $ Annually

About Daiwa Capital Markets America Inc.:

Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker‑dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers.

DCMA’s ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan.

Position Summary:

DCMA is seeking a Regulatory Compliance, Reporting, and Surveillance Director to join the Compliance department. In this role, you will lead key components of the firm’s regulatory compliance framework supporting institutional Equities, Fixed Income, Treasury and Futures businesses. You will provide senior regulatory advice; oversee assigned regulatory reporting, surveillance, testing and supervisory‑control programs; coordinate examinations and inquiries; and drive sustainable improvements to policies, procedures, technology and controls.

Operating in a player‑coach capacity, you will supervise Compliance professionals and partner with Front Office supervisors, Operations, Risk Management, Finance, Legal, Internal Audit, Technology, Human Resources, global Compliance teams, regulators and third‑party providers. The position requires sound judgment, technical depth, strong program management, and effective escalation.

Core Responsibilities:

• Regulatory Advisory & Program Leadership: Provide practical regulatory guidance; lead assigned compliance programs; assess new products, business initiatives, systems and regulatory developments; establish ownership, escalation, documentation and reporting standards; and represent the firm at appropriate industry forums.
• Regulatory Reporting Governance: Oversee the Compliance framework for assigned obligations, including CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader and applicable securities transaction reporting.
• Surveillance & Monitoring: Oversee assigned market, trade and electronic communications surveillance. Evaluate coverage, data feeds, scenarios, thresholds and workflows; review significant alerts and trends; establish investigation and documentation standards; and coordinate enhancements with supervisors, Technology, Risk Management and vendors, including appropriate use of analytics and AI-supported controls.
• Regulatory Examinations & Inquiries: Lead or coordinate examinations, sweeps, questionnaires, trade-data requests and information requests involving FINRA, SEC, CME, CFTC, the Federal Reserve, DTCC, and other applicable authorities. Establish response plans, assign deliverables, validate submissions, track deadlines and commitments, maintain complete records, and elevate material or overdue matters.
• Compliance Testing & Remediation: Develop and maintain a risk‑based inspection and testing schedule. Define scope, procedures, sampling, evidence and reporting standards; oversee findings and recommendations; assign corrective actions and target dates; validate closure; and support the annual CCO report, CEO certifications and assessments of supervisory controls.
• Technology, Data & Vendor Oversight: Serve as a senior Compliance stakeholder for regulatory reporting,…