Director, Broker-Dealer Finance & Compliance

Oliver James; New York (NY); On-site; USD 180,000 - 220,000; Full time

Benefits offered by this job

Bonus potential up to $80,000

Family and life support

Strong financial benefits - 401(k) match

Job summary

Oliver James is seeking a Financial Director for its client, a large commercial retail bank in New York. The candidate will lead financial control and regulatory reporting while ensuring broker-dealer records compliance. The position requires a CPA, Series 27, and deep experience in the financial sector. Salary ranges between $180,000 and $220,000, with bonus potential up to $80,000. Benefits include family and life support, along with a 401(k) match and discretionary contributions.

Qualifications

• Deep experience in financial control and regulatory reporting.
• Strong knowledge of broker-dealer regulations (FINRA Series 27, Net Capital Rule 15c3-1).
• Background in regulated financial services environments.

Responsibilities

• Lead financial control and regulatory reporting.
• Ensure broker-dealer records are accurate and compliant.
• Oversee timely regulatory and management reporting.
• Own month-end close with strong controls.

Skills

Financial control and regulatory reporting

Broker-dealer regulations knowledge

Analytical mindset

Working with senior leadership

Education

CPA

Series 27

Job description

Oliver James is seeking a Financial Director for its client, a large commercial retail bank in New York. The candidate will lead financial control and regulatory reporting while ensuring broker-dealer records compliance. The position requires a CPA, Series 27, and deep experience in the financial sector. Salary ranges between $180,000 and $220,000, with bonus potential up to $80,000. Benefits include family and life support, along with a 401(k) match and discretionary contributions.