Director, Financial Controller

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

My client, a large commercial retail bank, is looking to hire a Financial Director - Broker-Dealer (US Global Markets). The team is looking for a senior finance leader ready to take ownership of financial control, regulatory reporting, and broker-dealer integrity in a highly regulated environment.

Responsibilities

• Lead financial control and regulatory reporting, serving as a trusted advisor to senior stakeholders
• Ensure broker-dealer records are accurate, compliant, and capital requirements are met
• Oversee timely, high-quality regulatory and management reporting
• Own month-end close with strong controls and clean financials
• Partner with auditors, regulators, and compliance teams (including FINOP responsibilities)
• Build and lead a high-performing team, driving automation and process improvement

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
• Experience supporting FINRA/SEC reporting
• Strong analytical mindset with attention to detail and ability to meet tight deadlines
• Confidence working with senior leadership and cross-functional teams
• Required: CPA and Series 27
• Salary ranging between $180,000 and $220,000
• Bonus potential up to $80,000
• Family and life support
• Strong financial benefits - 401(k) match and discretionary contribution

For more information, please apply or contact [e-mail] directly.