Regulatory Reporting & Controls Director

📊 New Opportunity: Finance Controls & Regulatory Reporting Director

📍Manhattan, NYC

I'm partnering with a global financial technology company seeking a finance professional to take ownership of key broker-dealer financial controls and regulatory reporting initiatives.

This is an opportunity to take ownership, strengthen financial controls & regulatory reporting processes, and contribute to evolving regulatory initiatives, while partnering closely with CFO. It's an excellent fit for someone with a public accounting or audit foundation who has transitioned into broker-dealer finance and wants to play a meaningful role in leading the finance and control environment.

🚀 Why Consider This Opportunity?

• Direct CFO Exposure: Report to senior Finance leadership and have visibility across the organization
• Ownership: Help shape financial controls, regulatory reporting, and SOX processes
• Growth: Join an expanding financial technology platform with the opportunity to grow into a management role
• Excellent Benefits: 100% employer-paid medical and dental coverage, 401(k) match, commuter benefits, tuition reimbursement, wellness benefits, and more

📈 What You'll Do

• Own and strengthen broker-dealer financial controls and regulatory reporting processes
• Support SEC regulatory reporting requirements and evolving compliance initiatives
• Perform and oversee SEC Rule 15c3-3 reserve calculations
• Drive SOX initiatives and help enhance internal control frameworks
• Partner with Finance leadership and cross-functional stakeholders on reporting and control matters

🔎 What They're Looking For

• 6+ years of experience in audit, financial controls, and/or regulatory reporting
• Broker-dealer experience is required
• Strong understanding of financial reporting, internal controls, and SOX
• Hands-on experience with SEC Rule 15c3-3 reserve calculations
• Series 27 strongly preferred; willingness to obtain within 3–6 months considered
• CPA is a plus

If you're a finance professional with broker-dealer experience ready for greater ownership, direct executive exposure, and the opportunity to help build out a growing control environment, I'd love to connect.