Broker-Dealer Regulatory Reporting Lead

MDMS Recruiting LLC; Jersey City (NJ); On-site; USD 120,000 - 170,000; Full time

Job summary

MDMSRecruiting LLC in Jersey City, NJ seeks a regulatory reporting controller to oversee level 2 control reviews aligned with SEC 17a-5, Finra rules, and CFTC segments. The role supports testing, remediation tracking, and reporting across Finance Controls within the Americas.

The candidate will lead teams, interact with external auditors, and drive automation initiatives using BI tools, while mentoring junior staff and ensuring regulatory reporting accuracy.

Qualifications

• Analytical skills to provide independent opinions on control framework and regulatory application.
• Strong audit skills and good knowledge of SEC and Finra regulations.
• Product knowledge in Broker Dealers — derivatives, loans, funding vehicles, currencies, fixed income, equity securities and commodities.
• Ability to understand Banking & Investment business lines and challenge processes with a continuous improvement mindset.
• Communication skills: ability to interact with staff at all levels & management.

Responsibilities

• Perform all aspects of level 2 regulatory reporting control reviews on SEC 15c3-1, 15c3-3, 17a-13, Finra 2231, CFTC segments and related rules.
• Lead staff on level 2 control reviews, set objectives, manage time and coordinate with project members.
• Maintain knowledge of SEC and Finra regulations affecting broker-dealer operations; monitor regulatory changes.
• Represent Finance Controls team before Senior Management and coordinate with external auditors.
• Promote automation of workflows using BI tools and support remediations with stakeholders.
• Guide and train junior staff and participate in longer-term goals of the Finance Control team.
• Engage with first control teams to identify, measure, and report aggregate risks.

Skills

Analytical skills

Audit skills

Regulatory knowledge

Banking & Investment understanding

Communication skills

Education

Bachelor's degree in Finance or Accounting

Series 27

CPA license a plus

SEC/Finra/CFTC experience a plus

Advanced degree a plus

Job description

MDMSRecruiting LLC in Jersey City, NJ seeks a regulatory reporting controller to oversee level 2 control reviews aligned with SEC 17a-5, Finra rules, and CFTC segments. The role supports testing, remediation tracking, and reporting across Finance Controls within the Americas.

The candidate will lead teams, interact with external auditors, and drive automation initiatives using BI tools, while mentoring junior staff and ensuring regulatory reporting accuracy.