Director-Broker Dealer Regulatory Reporting

Location: New York

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*** Own and oversee compliance with SEC Rule 15c3-3, including customer reserve formula calculations, possession-or-control requirements, account classifications, and exemption analyses (e.g., paragraph 74/78, k(2)(ii)).
* Review and approve reserve computations, special reserve bank account activity, and related reconciliations.
* Assess the regulatory impact of new products, business initiatives, and operational changes.
* Lead, mentor and develop a team of Regulatory Reporting junior staff members.
* FOCUS Reports, Supplemental Liquidity Schedules (SLS), FR 2004
* Audited financials supplemental regulatory information and footnotes
* SIPC filings
* FINRA and SEC ad-hoc requests
* Ensure consistency between regulatory filings, US GAAP financial statements, and internal management reporting.
* Manage regulatory reporting calendars, controls, and documentation to ensure timeliness and accuracy.
* Bachelor’s degree in Accounting, Finance, or related field.
* 10+ years of experience in broker-dealer regulatory reporting, capital management, or financial control roles.
* Hands-on expertise with SEC Rules 15c3-1 and 15c3-3.
* Extensive experience preparing and reviewing FOCUS reports and other SEC/FINRA regulatory filings.
* Strong understanding of broker-dealer operations, settlement processes, margin, financing transactions (repo, stock borrow/loan), and customer account structures.
* Proven experience interacting with external auditors and regulators.
* Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
* Oversee and lead a large and/or highly complex and diverse reporting function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
* Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
* Manages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practices
* Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
* Strategic partner to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management / enterprise areas
* Facilitates key strategic discussions and provide thought leadership to executive audience (output may include strategic roadmap and/or deliverables/ frameworks/ short to long term goals etc.)
* Sets operational team direction and collaborate with others to execute on common goals
* Focus on longer-range planning for functional area (e.g. 12 months or greater)
* Undergraduate degree and/or
* 10+ years of relevant experience preferred
* Accounting or financial designation preferred
*…