Senior Finance Controls & Regulatory Reporting Lead

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

Benefits offered by this job

Comprehensive Health Coverage

401(k) match

Commuter benefits for NY positions

Generous time off

Wellness & Pet Care

Tuition reimbursement

Catered breakfast

Monthly happy hours

Job summary

Webull Financial is seeking an experienced finance leader to join our Finance organization in a role that supports financial controls, regulatory reporting, and operational excellence. The title will be Associate Director or Senior Associate Director, based on experience.

Based at our NY Wall Street office, you will lead critical controls, oversee Rule 15c3-3 reserve calculations, and collaborate with auditors to ensure SOX compliance and regulatory readiness.

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

6+ years exp

SOX controls

SEC Rule 15c3-3

Broker-dealer accounting

Cross-functional collaboration

Job description

Webull Financial is seeking an experienced finance leader to join our Finance organization in a role that supports financial controls, regulatory reporting, and operational excellence. The title will be Associate Director or Senior Associate Director, based on experience.

Based at our NY Wall Street office, you will lead critical controls, oversee Rule 15c3-3 reserve calculations, and collaborate with auditors to ensure SOX compliance and regulatory readiness.