Director of Financial Control & Compliance Leader

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

Benefits offered by this job

Health coverage

401(k) with company match

Life insurance

Job summary

Lloyds Bank in New York seeks a Director, Financial Controller to lead financial control and regulatory reporting across multiple entities. You will ensure data integrity, capital adequacy, and regulatory compliance while advising partners and senior leadership.

Required CPA and Series 27 credentials, with deep broker-dealer experience. The role emphasizes oversight of month-end close, collaboration with auditors, and driving automation to improve controls and reporting quality.

Qualifications

• Financial acumen with controls and regulatory reporting.
• Strong understanding of broker-dealer regulations (FINRA Series 27, Net Capital Rule).
• Proven experience in financial controls and reporting within regulated environments.

Responsibilities

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

Skills

Broker-dealer regulations

FINRA Series 27

Net Capital Rule 15c3-1

Financial controls

Regulatory reporting

Education

CPA certification

Series 27 certification

Tools

Microsoft Excel

Microsoft PowerPoint

Job description

Lloyds Bank in New York seeks a Director, Financial Controller to lead financial control and regulatory reporting across multiple entities. You will ensure data integrity, capital adequacy, and regulatory compliance while advising partners and senior leadership.

Required CPA and Series 27 credentials, with deep broker-dealer experience. The role emphasizes oversight of month-end close, collaboration with auditors, and driving automation to improve controls and reporting quality.