Regulatory Reporting Analyst – Manager

Jobtailor; Minnesota; On-site; USD 90,000 - 130,000; Full time

Job summary

Jobtailor in Minnesota is seeking a seasoned Regulatory Reporting Lead to own end-to-end FOCUS filings and associated schedules, ensuring compliance with SEC and FINRA rules. You will oversee net capital computations, reserves, and complex area reviews while guiding a team of analysts.

The role requires deep regulatory knowledge, prior leadership experience, and the ability to coordinate with audits and exams. A CPA and FINRA Series 27 are highly preferred.

Qualifications

• Bachelor's degree in accounting or finance (preferred) or related field, or equivalent work experience.
• Six or more years of accounting experience.
• Strong working knowledge of SEC and FINRA broker-dealer regulations.
• Prior team leadership, review, or informal people-management experience.
• Experience supporting or responding to regulatory exams.
• Obtain FINRA Series 27 license within 120 days of employment.
• CPA or equivalent professional certification.
• Direct experience with FOCUS filings, net capital computations, and reserve formula calculations.
• Prior interaction with FINRA or SEC examiners.
• Experience supporting multiple broker-dealer entities or complex BD structures.

Responsibilities

• Own end-to-end preparation, review, and submission of FOCUS Reports and related schedules.
• Oversee reporting related to SEC Rule 15c3-1 and SEC Rule 15c3-3.
• Review complex areas including netting, hairs, reserves, and deposits.
• Lead, coach, and develop a team of regulatory reporting analysts.
• Coordinate responses to FINRA, SEC, and internal audits.

Skills

Regulatory Reporting

Team Leadership

Regulatory Inquiries

Documentation

Communication

Education

Bachelor's degree in accounting or finance

Tools

FOCUS Filings

Net Capital Computations

Reserve Formula Calculations

Regulatory Defensibility

Job description

• Own end-to-end preparation, review, and submission of FOCUS Reports (Part IIA / IIB) and related schedules.
• Oversee reporting related to SEC Rule 15c3-1 (Net Capital) and SEC Rule 15c3-3 (Customer Protection / Reserve Formula).
• Review complex areas including: Netting and allowable vs. non-allowable assets, Haircuts and concentration charges, Customer reserve computations and deposits, PAB vs. customer segregation distinctions, Affiliate and intercompany balances.
• Assess the impact of new products, business changes, or legal-entity activity on regulatory reporting.
• Lead, coach, and develop a team of broker-dealer regulatory reporting analysts.
• Establish clear expectations for quality, documentation standards, and filing discipline.
• Perform detailed review and approval of analyst work with a focus on regulatory defensibility.
• Ensure appropriate coverage, cross-training, and continuity for key filings and critical rules.
• Maintain and enhance controls supporting broker-dealer regulatory reporting in alignment with SOX/FRR and supervisory procedures.
• Own regulatory reporting narratives, desk procedures, and control documentation.
• Coordinate responses to FINRA, SEC, and internal audit exams, including data requests, findings, and remediation.
• Perform root-cause analysis on reporting issues and lead sustainable remediation.
• Act as a key Finance point of contact for regulatory inquiries and escalations.
• Clearly explain regulatory outcomes, risks, and issues to senior Finance and business leadership.
• Drive automation, standardization, and reduction of manual regulatory reporting processes.

Requirements

• Bachelor's degree in accounting or finance (preferred) or related field, or equivalent work experience
• Six or more years of accounting experience
• Strong working knowledge of SEC and FINRA broker-dealer regulations
• Prior team leadership, review, or informal people-management experience
• Experience supporting or responding to regulatory exams
• Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment
• CPA or equivalent professional certification
• Direct experience with FOCUS filings, net capital computations, and reserve formula calculations
• Prior interaction with FINRA or SEC examiners
• Experience supporting multiple broker-dealer legal entities or complex BD structures
• Exposure to capital introduction, clearing, prime brokerage, or correspondent models

Core Competencies

Demonstrates expertise in regulatory reporting for broker-dealers, including FOCUS filings and SEC/FINRA compliance. Proven ability to lead teams, enhance reporting processes, and manage regulatory inquiries effectively.

Highest-signal resume keywords

• Regulatory Reporting
• SEC Rule 15c3-1
• SEC Rule 15c3-3
• FINRA Series 27
• CPA Certification

ATS Optimization Keywords

Hard Skills

• FOCUS Filings
• Net Capital Computations
• Reserve Formula Calculations
• Root-Cause Analysis
• Regulatory Defensibility

Soft Skills

• Team Leadership
• Coaching
• Communication
• Quality Assurance
• Documentation Standards

Certifications & Qualifications

• FINRA Series 27
• CPA Certification

Industry Keywords

• Broker-Dealer Regulations
• SEC Compliance
• FINRA Interaction
• Capital Introduction
• Clearing Models