Director, Financial Control & Regulatory Reporting
bruinNew York, NY
Director, Financial Control & Regulatory Reporting
L7
bruinNew York, NYyesterday
Industries
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous IntermediationWe are partnering with a global financial institution on a search for a Director within its Finance organization in New York. This is a senior, hands-on position with responsibility across financial control, broker-dealer accounting and regulatory reporting. The individual will work closely with senior leadership and partner across Finance, Risk, Compliance, Operations and other key stakeholders.
Responsibilities:
Lead financial control and regulatory reporting activities across multiple legal entities. Oversee broker-dealer books and records and ensure a strong financial control environment. Manage key regulatory capital calculations and reporting requirements. Take ownership of month-end close and general ledger processes. Support regulatory, audit, and SOX-related matters. Lead and develop members of the Finance team while driving process and control improvements.
Qualifications:
CPA required 10+ years of relevant experience across financial control, regulatory reporting and/or broker-dealer finance. Strong understanding of FINRA/SEC broker-dealer requirements. Experience with Net Capital / Rule 15c 3-1 highly preferred. Series 27 preferred; candidates with the ability to obtain the registration may also be considered. Strong understanding of capital markets and banking products. Strong analytical, communication and leadership skills.
Apply now
Level
ManagerL7
Location
New York, NY
Occupation
Treasurers and Controllers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
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