Director, Financial Control & Regulatory Reporting

RiseMe; New York (NY); On-site; USD 180,000 - 210,000; Full time

Benefits offered by this job

Comprehensive health coverage

401(k) with company match

Company-paid life insurance

Disability coverage

Paid family leave

Fitness programs and gym reimbursement

Job summary

Lloyds North America seeks a Director, Financial Controller to lead financial control, regulatory reporting, and compliance across multiple entities in North America. You will supervise month-end close, ensure accuracy of data, and partner with auditors and regulators to strengthen governance and capital adequacy.

You will apply CPA credentials and Series 27 experience to drive automation, policy enforcement, and strategic insight while building a high-performing finance team in a dynamic

Qualifications

• CPA and Series 27 credentials required.
• Experience in financial controls and regulatory reporting in regulated environments.
• Knowledge of broker-dealer regulations and compliance.
• Strong leadership and partner-management skills.

Responsibilities

• Lead financial control and regulatory reporting across multiple entities.
• Maintain broker-dealer records for capital adequacy and regulatory standards.
• Deliver timely regulatory and management reporting for US Global Markets.
• Supervise month-end close and ensure robust local controls.
• Collaborate with auditors, regulators, and compliance teams.
• Develop and mentor a high-performing Finance team.

Skills

Financial controls

Regulatory reporting

Broker-dealer regulations

FINOP duties

Leadership

Education

CPA certification

Series 27 license

Net Capital Rule 15c3-1 knowledge

Tools

Microsoft Excel

PowerPoint

Job description

Lloyds North America seeks a Director, Financial Controller to lead financial control, regulatory reporting, and compliance across multiple entities in North America. You will supervise month-end close, ensure accuracy of data, and partner with auditors and regulators to strengthen governance and capital adequacy.

You will apply CPA credentials and Series 27 experience to drive automation, policy enforcement, and strategic insight while building a high-performing finance team in a dynamic