Director of Regulatory Compliance & Surveillance

Daiwa Securities Group; New York; Hybrid; USD 200,000 - 225,000; Full time

Benefits offered by this job

Medical, Dental and Vision

401(k) with company match

Paid Time Off and holidays

Professional development and training

Job summary

Daiwa Capital Markets America Inc. is seeking a Regulatory Compliance, Reporting, and Surveillance Director to lead critical compliance programs across Institutional Equities, Fixed Income, Treasury and Futures.

You will supervise a team, coordinate with Front Office, Risk Management and Technology, and drive policy and system improvements. The role requires senior regulatory expertise, strong program management, and experience with regulatory reporting, surveillance, examinations, and testing.

Qualifications

• Bachelor’s degree in business, finance, accounting, economics, law, information systems, or related discipline.
• At least 10 years of relevant broker-dealer, financial-services, regulatory, legal, audit, risk or compliance experience.
• Strong knowledge of requirements applicable to institutional Equities, Fixed Income, Treasury and Futures activities.
• Experience with compliance technology, regulatory reporting systems, surveillance platforms, workflow applications, or third‑party providers.

Responsibilities

• Provide practical regulatory guidance; lead assigned compliance programs; assess new products, business initiatives, systems and regulatory developments.
• Oversee the Compliance framework for assigned obligations, including CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader and applicable securities transaction reporting.
• Oversee assigned market, trade and electronic communications surveillance; review alerts and trends; coordinate enhancements with stakeholders.
• Lead or coordinate examinations, sweeps, questionnaires and information requests involving FINRA, SEC, CME, CFTC, the Fed, DTCC and other authorities.
• Develop and maintain a risk-based inspection and testing schedule; oversee findings, remediation, and reporting.
• Define requirements for regulatory reporting, surveillance, filing, workflow and governance applications and coordinate implementations.

Skills

Regulatory compliance

Regulatory reporting

Surveillance oversight

Policy governance

Team leadership

Cross-functional collaboration

Education

Bachelor’s degree in business, finance, accounting, economics, law, information systems, or related discipline

Tools

Regulatory reporting systems

Surveillance platforms

Workflow applications

AI/analytics in compliance

Job description

Daiwa Capital Markets America Inc. is seeking a Regulatory Compliance, Reporting, and Surveillance Director to lead critical compliance programs across Institutional Equities, Fixed Income, Treasury and Futures.

You will supervise a team, coordinate with Front Office, Risk Management and Technology, and drive policy and system improvements. The role requires senior regulatory expertise, strong program management, and experience with regulatory reporting, surveillance, examinations, and testing.