Director, Financial Controller — Reg‑Focused Leader

Lloyds Bank; New York; Hybrid; USD 180,000 - 210,000; Full time

Benefits offered by this job

Health coverage

401(k) with match

Life insurance

Disability coverage

Gym reimbursement

Job summary

Lloyds North America, part of Lloyds Banking Group, seeks a Director, Financial Controller in New York to lead financial control, regulatory reporting, and global broker-dealer compliance.

CPA and Series 27 credentials are required. You will drive data integrity, capital strength, and robust reporting across multiple legal entities, partnering with auditors and regulators to uphold the highest standards.

Qualifications

• Financial controls and regulatory reporting experience.
• Knowledge of broker-dealer regulations including Series 27 and Net Capital Rule 15c3-1.
• Experience reporting for FINRA/SEC organizations.

Responsibilities

• Lead financial control and regulatory reporting, acting as a key advisor to partners and ensuring compliance and accurate data.
• Maintain the integrity of broker-dealer records, ensuring capital adequacy and regulatory standards, proactively handling risks.
• Deliver timely, accurate regulatory and management reporting for US Global Markets, supporting transparency and confidence.
• Supervise month-end close, ensuring accurate financials and robust local controls.
• Build partnerships with auditors, regulators, and compliance teams, taking ownership of remediation and FINOP duties.
• Develop and inspire a high-performing Finance team, driving innovation, automation, and collaboration to add new value.

Skills

Financial controls

Regulatory reporting

Broker-dealer regulations

FINOP duties

Series 27

CPA credential

Leadership

Education

CPA credential

Series 27 certification

Tools

Broker-dealer systems

Job description

Lloyds North America, part of Lloyds Banking Group, seeks a Director, Financial Controller in New York to lead financial control, regulatory reporting, and global broker-dealer compliance.

CPA and Series 27 credentials are required. You will drive data integrity, capital strength, and robust reporting across multiple legal entities, partnering with auditors and regulators to uphold the highest standards.