Regulatory Compliance, Reporting & Surveillance Director

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

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Regulatory Compliance, Reporting & Surveillance Director

Regular Full-Time Professional New York, NY, US

12 days ago Requisition ID: 1135

Salary Range: $200,000.00 To $225,000.00 Annually

About Daiwa Capital Markets America Inc.:

Incorporated in 1964, Daiwa Capital Markets America Inc. (DCMA) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers. DCMA’s ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan.

Position Summary:

DCMA is seeking a Regulatory Compliance, Reporting, and Surveillance Director to join the Compliance department. In this role, you will lead key components of the firm’s regulatory compliance framework supporting institutional Equities, Fixed Income, Treasury and Futures businesses. You will provide senior regulatory advice; oversee assigned regulatory reporting, surveillance, testing and supervisory-control programs; coordinate examinations and inquiries; and drive sustainable improvements to policies, procedures, technology and controls.

Operating in a player-coach capacity, you will supervise Compliance professionals and partner with Front Office supervisors, Operations, Risk Management, Finance, Legal, Internal Audit, Technology, Human Resources, global Compliance teams, regulators and third-party providers. The position requires sound judgment, technical depth, strong program management, and effective escalation.

Core Responsibilities:

• Regulatory Advisory & Program Leadership: Provide practical regulatory guidance; lead assigned compliance programs; assess new products, business initiatives, systems and regulatory developments; establish ownership, escalation, documentation and reporting standards; and represent the firm at appropriate industry forums.
• Regulatory Reporting Governance: Oversee the Compliance framework for assigned obligations, including CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader and applicable securities transaction reporting.
• Surveillance & Monitoring: Oversee assigned market, trade and electronic communications surveillance. Evaluate coverage, data feeds, scenarios, thresholds and workflows; review significant alerts and trends; establish investigation and documentation standards; and coordinate enhancements with supervisors, Technology, Risk Management and vendors, including appropriate use of analytics and AI-supported controls.
• Regulatory Examinations & Inquiries: Lead or coordinate examinations, sweeps, questionnaires, trade-data requests and information requests involving FINRA, SEC, CME, CFTC, the Federal Reserve, DTCC, and other applicable authorities. Establish response plans, assign deliverables, validate submissions, track deadlines and commitments, maintain complete records, and elevate material or overdue matters.
• Compliance Testing & Remediation: Develop and maintain a risk-based inspection and testing schedule. Define scope, procedures, sampling, evidence and reporting standards; oversee findings and recommendations; assign corrective actions and target dates; validate closure; and support the annual CCO report, CEO certifications and assessments of supervisory controls.
• Technology, Data & Vendor Oversight: Serve as a senior Compliance stakeholder for regulatory reporting, surveillance, filing, workflow and governance applications. Define requirements, coordinate implementation and testing, challenge system or vendor results, elevate incidents, monitor corrective actions, and promote effective automation, analytics and data-quality controls.
• Primary Dealer & Treasury Oversight: Oversee assigned Primary Dealer, Federal Reserve, Treasury Market Practices Group and Treasury auction compliance requirements, including certifications, disclosures, attestations, training, testing and supporting documentation.
• Policies, Training & Regulatory Change: Maintain assigned policies, procedures, supervisory matrices and key operating procedures. Assess regulatory changes, perform gap reviews, and coordinate implementation. Design or oversee role-based training, annual compliance communications, completion tracking, attestations and targeted follow-up.
• Governance Reporting: Prepare reporting for the Compliance Committee, CCO, senior management, Board and other governance bodies. Communicate regulatory developments, inquiries, reporting performance, surveillance results, testing, incidents, remediation, trends and resource concerns.
• Team Leadership: Supervise, coach and develop assigned professionals; establish priorities and quality standards; review significant work product; and maintain cross-training, for critical programs and recurring deliverables.

Required 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, with demonstrated expertise in regulatory reporting, surveillance, examinations, testing, supervisory controls or regulatory change.
• Understanding of reporting data flows, reconciliations, exception management, error correction, evidence retention and control documentation.
• Experience developing policies, procedures, training, management reporting and sustainable supervisory or compliance controls.
• Experience with compliance technology, regulatory reporting systems, surveillance platforms, workflow applications, or third‑party providers.
• Strong written and verbal communication, analytical ability, organization, attention to detail, and sound judgment.
• Prior people-management, project-management or significant program‑leadership experience.

Preferred Qualifications:

• Advanced degree, relevant FINRA registrations; Series 7, 24, 57 & 63.
• Experience supporting an institutional broker-dealer, Futures Commission Merchant or Primary Dealer.
• Working knowledge of CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader or securities transaction reporting.
• Experience with examinations, regulatory reporting remediation, data-quality reviews, system implementations, vendor transitions or AI-supported surveillance.
• Experience preparing materials for senior management, governance committees, Boards or regulators.

Company Culture and Benefits:

Daiwa Capital Markets America Inc. has a vibrant company culture made up of a diverse team of professionals. We seek to foster an atmosphere in which our employees understand, respect, and inspire each other. We will continue to build a culture that encourages everyone at DCMA to take pride in their work. How we work - individually, with each other, and with our communities - is just as important as what we do and shapes who we are as an organization.

Our people are our most important asset, and as a result, we offer a competitive and robust total rewards package which includes, but is not limited to:

• Competitive Benefits Package (Medical, Dental and Vision)
• Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short - Long-term Disability)
• Flexible Spending and Health Savings Accounts (FSA and HSA)
• Employee Assistance Program (EAP)
• Comprehensive health and wellness benefits
• Family building benefits
• 401(k) with company match
• Paid Time Off and holidays
• Professional development, educational assistance and training programs
• Community Engagement Programs

DCMA has a hybrid work program in place, with opportunities for remote work depending on the nature of the role and needs of your department. This was implemented to provide operational efficiency while simultaneously giving employees flexibility. At a minimum, employees are expected to work in the office three days per week.

DCMA provides equal employment opportunities for all applicants and employees. We are committed to providing a work environment that is free of discrimination and harassment. DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws.