Senior Finance Controls & Regulatory Reporting Lead

Webull; New York (NY); On-site; USD 135,000 - 175,000; Full time

Benefits offered by this job

Health insurance

401(k) matching

Paid parental leave

Generous time off

Job summary

Webull is seeking an experienced finance professional to lead financial controls, regulatory reporting, and operational excellence from its NY office. The role will be senior, with Associate Director or Senior Associate Director title depending on experience.

You will oversee Rule 15c3-3 reserve calculations, work with auditors on SOX testing and audits, and drive improvements to strengthen control environments while supporting regulatory initiatives.

Qualifications

• 6+ years of experience in audit, financial controls, and/or regulatory reporting.
• Experience designing, operating, and enhancing financial controls, preferably in a SOX-compliant public company environment.
• Hands-on experience preparing and reviewing SEC Rule 15c3-3 Reserve Formula calculations.
• Strong understanding of broker-dealer regulatory accounting and control frameworks.
• Ability to collaborate across Finance, Operations, Compliance, and external auditors.

Responsibilities

• Lead and strengthen financial controls across key finance processes.
• Prepare, review, and oversee Rule 15c3-3 reserve calculations and related regulatory processes.
• Partner with auditors on SOX testing, financial statement audits, and regulatory examinations.
• Drive process improvements to enhance control effectiveness and operational efficiency.
• Support Finance leadership on regulatory initiatives and special projects.

Skills

Financial controls

Regulatory reporting

SOX compliance

Audit coordination

Cross-functional collaboration

Education

Bachelor's degree in Finance/Accounting

Tools

Rule 15c3-3 reserve calculations

SEC/FINRA regulatory frameworks

Job description

Webull is seeking an experienced finance professional to lead financial controls, regulatory reporting, and operational excellence from its NY office. The role will be senior, with Associate Director or Senior Associate Director title depending on experience.

You will oversee Rule 15c3-3 reserve calculations, work with auditors on SOX testing and audits, and drive improvements to strengthen control environments while supporting regulatory initiatives.