Regulatory Reporting Director

Atrium; New York (NY); On-site; USD 150,000 - 200,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401k plan

Paid holidays

Life insurance

Disability coverage

Employee assistance program

Job summary

Atrium is seeking a Regulatory Reporting Director in New York to lead accounting and regulatory reporting for a U.S. broker-dealer, ensuring SEC/FINRA compliance and guiding strategic initiatives.

You will manage a team, oversee net capital computations, and coordinate with global stakeholders. The role demands hands-on financial reporting, collaboration with the CFO, and the drive to enhance controls during a self-clearing transition, with a strong emphasis on automation.

Qualifications

• Bachelor’s degree in Accounting, Finance, or related discipline required.
• Advanced degree or professional certification (CPA) preferred.
• Continuing education in regulatory compliance and financial reporting is a plus.

Responsibilities

• Own and review net capital computation under SEC Rule 15c3-1; manage exemption determinations and monthly FOCUS filings.
• Prepare and review U.S. GAAP financial statements and schedules for annual X-17A-5 filings.
• Manage external audit processes, including coordination of exemption reports and compliance reviews.
• Partner with Compliance and Operations to strengthen controls and prepare for a transition to self-clearing.
• Lead technical accounting analysis for new products and business lines, including structured products and repo/reverse repo.
• Support CFO on clearing-broker transition projects, including net capital modeling and regulatory readiness.
• Manage and develop a team of professionals, including coordination with outsourced resources in Brazil.
• Drive automation and process efficiency using Excel, PowerPoint, and AI-enabled tools.
• Serve as a key liaison with head office in Brazil on accounting policy and reporting matters.
• Support regulatory examinations and internal audit requests as needed.

Skills

Broker-dealer accounting

Net capital computations

SEC Rules 15c3-1

15c3-3

Big 4 experience

Excel & PowerPoint

Automation tools

Communication

Education

Bachelor’s degree in Accounting, Finance, or related discipline

CPA designation preferred

Continuing education in regulatory compliance and financial reporting

Tools

Automation tools

Job description

Atrium is seeking on behalf of our client a Regulatory Reporting Director based in New York.

A background check may be run only after a conditional offer is made, where permitted by law.

Position: Regulatory Reporting Director

Location: New York

Employment Type: Full-time

Compensation: 150,000-200,000 USD BASE

Position Overview

The Regulatory Reporting Director will lead accounting and regulatory reporting functions for a U.S. broker-dealer, ensuring compliance with SEC and FINRA requirements while supporting strategic initiatives. This role combines technical expertise with leadership responsibilities, managing a team and collaborating with global stakeholders. The position requires a hands-on approach to financial reporting, net capital computations, and regulatory filings. Must be legally authorized to work in the United States.

Responsibilities

• Own and review the firm’s net capital computation under SEC Rule 15c3-1 and manage exemption determinations and monthly FOCUS Report filings.
• Prepare and review U.S. GAAP financial statements and supporting schedules for annual X-17A-5 filings.
• Manage external audit processes, including coordination of exemption reports and compliance reviews.
• Partner with Compliance and Operations to strengthen controls and prepare for a transition to self-clearing.
• Lead technical accounting analysis for new products and business lines, including structured products and repo/reverse repo.
• Support CFO on clearing-broker transition projects, including net capital modeling and regulatory readiness.
• Manage and develop a team of professionals, including coordination with outsourced resources in Brazil.
• Drive automation and process efficiency using Excel, PowerPoint, and AI-enabled tools.
• Serve as a key liaison with head office in Brazil on accounting policy and reporting matters.
• Support regulatory examinations and internal audit requests as needed.

Required Experience/Skills

• Bachelor’s degree in Accounting, Finance, or related field.
• Deep expertise in U.S. broker-dealer accounting and net capital/customer reserve computations under SEC Rules 15c3-1 and 15c3-3.
• Significant experience in broker-dealer finance and regulatory reporting, Big 4 audit practice, or regulatory agencies (FINRA/SEC).
• Strong Excel and PowerPoint skills; ability to leverage automation tools.
• Excellent communication and organizational skills with the ability to manage multiple priorities.

Preferred Experience/Skills

• CPA designation preferred but not required.
• Series 27 (Financial and Operations Principal) preferred or willingness to obtain within one year.
• Portuguese language proficiency strongly preferred; Spanish may be considered.
• Experience with broker-dealer transitions to self-clearing or clearing-broker regulatory reporting.
• Familiarity with FOCUS Reports and exemption reports.

Education Requirements

• Bachelor’s degree in Accounting, Finance, or related discipline required.
• Advanced degree or professional certification (CPA) preferred.
• Continuing education in regulatory compliance and financial reporting is a plus.

If eligible under the ACA, medical, dental and vision benefits and time off in accordance with local paid sick time laws will be offered. Additional benefits may include paid holidays, a 401(k)-retirement plan, life insurance, disability coverage, and an employee assistance program, where applicable. Other compensation programs may include overtime, shift differentials, bonuses, commissions, or other incentive compensation, where applicable.

Commitment to Diversity

As a woman-owned firm, we value diversity. We are an equal opportunity and affirmative action employer and will consider all applications without regard to race, sex (including gender, pregnancy, sexual orientation and gender identity), age, color, religion or creed, national origin or ancestry, veteran status, disability (physical or mental), genetic information, citizenship or any other characteristic protected by law. We will ensure that individuals with disabilities are provided with reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Candidates who apply for roles through the Atrium website will be added to our candidate pool and may be considered for additional roles of a similar title. Please contact us to request an accommodation.

EOE/M/F/D/V/SO