Head of Regulatory Reporting

Phaxis; New York (NY); On-site; USD 170,000 - 230,000; Full time

Job summary

A global investment bank seeks a strategic leader for the Head of Regulatory Reporting position. The role involves overseeing U.S. broker-dealer regulatory reporting and compliance with SEC and FINRA requirements. Candidates should have over 10 years of relevant experience, expertise in SEC rules, and a Bachelor's degree in Finance or Accounting. Strong leadership and data analysis skills are essential for managing a high-performing team in a fast-paced environment.

Qualifications

• 10+ years of experience in broker-dealer regulatory reporting.
• Deep expertise in SEC rules and regulatory filings.
• Ability to lead teams and work under pressure.

Responsibilities

• Oversee U.S. broker-dealer regulatory reporting and compliance.
• Lead the preparation and submission of regulatory filings.
• Drive process improvements and liaise with regulators.

Skills

Leadership

Data analysis

Stakeholder management

Excel proficiency

Education

Bachelor's degree in Accounting, Finance, or related field

CPA preferred

Tools

WolfPAC

RegInsight

Job description

2 days ago Be among the first 25 applicants

This range is provided by Phaxis. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$170,000.00/yr - $230,000.00/yr

Direct message the job poster from Phaxis

Compliance, Fincrime, & Risk Management | Talent Acquisition, Relationship Building

Overview:

A global investment bank is seeking an experienced and strategic leader to serve as the Head of Regulatory Reporting. This individual will oversee all aspects of U.S. broker-dealer regulatory reporting and drive process enhancements, governance, and compliance with SEC and FINRA requirements. This is a high-impact leadership role with cross-functional visibility and responsibility for the firm’s compliance with SEC Rules 15c3-1, 15c3-3, 17a-5, and related filings.

Key Responsibilities:

• Lead the Regulatory Reporting team in the preparation, review, and submission of all broker-dealer regulatory filings, including:
• FOCUS Reports (SEC Rule 17a-5)
• Customer and PAB Reserve Formula Computations (SEC Rule 15c3-3)
• Net Capital Computations (SEC Rule 15c3-1)
• Maintain and enhance internal control frameworks to ensure compliance with SEC and FINRA Financial Responsibility Rules.
• Oversee regulatory interpretations for new business initiatives; advise senior leadership on implications for net capital and reserve requirements.
• Act as key liaison with FINRA, the SEC, and internal/external auditors during examinations and audits.
• Drive automation and process improvement initiatives within the regulatory reporting function.
• Manage, mentor, and develop a high-performing team of regulatory reporting professionals across geographies.
• Ensure that written policies and procedures are current, complete, and aligned with evolving regulatory standards.
• Participate in industry working groups and stay abreast of rule changes, best practices, and emerging risks.

Qualifications:

• 10+ years of progressive experience in broker-dealer regulatory reporting within investment banking or public accounting.
• Deep expertise in SEC Rules 15c3-1 and 15c3-3, and FOCUS reporting (Rule 17a-5).
• Strong understanding of U.S. broker-dealer financial responsibility rules and related regulatory filings.
• FINRA Series 27 license (or ability to obtain shortly after hire).
• Bachelor’s degree in Accounting, Finance, or related field; CPA preferred.
• Proven leadership and people management experience; ability to lead a team in a high-pressure environment.
• Strong Excel and data analysis skills; experience with regulatory reporting systems (e.g., WolfPAC, RegInsight, or in-house tools) a plus.
• Excellent communication and stakeholder management skills, with the ability to present clearly to executive leadership and regulators.

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Accounting/Auditing

• Industries

  Financial Services and Investment Banking

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