Senior Regulatory Reporting & Surveillance Director

Daiwa Capital Markets America Inc.; New York (NY); Hybrid; USD 180,000 - 300,000; Full time

Benefits offered by this job

Medical, Dental, Vision

401(k) with company match

Paid Time Off and holidays

Professional development

Community engagement

Job summary

Daiwa Capital Markets America Inc. seeks a Regulatory Compliance, Reporting, and Surveillance Director to lead the firm’s compliance framework spanning institutional equities, fixed income, treasury and futures businesses.

You will supervise compliance professionals and coordinate with Front Office, Operations, Risk, Finance, Legal, IT, and global teams to drive policies, testing and regulatory change initiatives.

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.
• 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.

Responsibilities

• Regulatory advisory and program leadership for compliance programs.
• Oversee regulatory reporting governance for CAT/CAIS, TRACE, EBS, Short Interest, LOPR, Large Trader.
• Oversee market and electronic communications surveillance; evaluate data feeds and thresholds.
• Lead regulatory examinations, sweeps, and information requests with authorities.
• Develop risk-based testing schedule; oversee findings and remediation.
• Partner with technology, risk management, and vendors on governance apps.
• Oversee Primary Dealer, Federal Reserve, and Treasury compliance requirements.
• Maintain policies, procedures, and supervisory matrices; coordinate training.
• Governance reporting to Compliance Committee and senior management.
• Team leadership and staff development; cross-training for critical programs.

Skills

Regulatory compliance

Program leadership

Regulatory reporting

Analytical thinking

Education

Bachelor's degree in business, finance, accounting, economics, law, information systems, or related discipline

Tools

Regulatory reporting systems

Surveillance platforms

Workflow applications

Third-party providers

Job description

Daiwa Capital Markets America Inc. seeks a Regulatory Compliance, Reporting, and Surveillance Director to lead the firm’s compliance framework spanning institutional equities, fixed income, treasury and futures businesses.

You will supervise compliance professionals and coordinate with Front Office, Operations, Risk, Finance, Legal, IT, and global teams to drive policies, testing and regulatory change initiatives.