Broker Dealer Regulatory Reporting Controller
Job Title: Broker-Dealer Regulatory Reporting Controller
Location: Jersey City, NJ & Manhattan, NY
Employment Type: Full-Time
About the Role:
Our Client, a prominent global financial institution, is seeking a Broker-Dealer Regulatory Reporting Controller to join its Finance team. This role is responsible for ensuring accurate and timely regulatory filings for U.S. broker-dealer entities, maintaining compliance with FINRA and SEC requirements, and supporting internal and external audits.
Key Responsibilities:
- Execute in-depth Level 2 control assessments for key regulatory filings, including SEC Rules 15c3-1, 15c3-3, 17a-13, FINRA Rule 2231, and CFTC Segregation requirements.
- Map regulatory obligations to existing control frameworks, identify gaps in control design, and assess areas of financial risk.
- Conduct walkthroughs, evaluate control performance, and document areas requiring remediation or enhancement.
- Lead and guide team members assigned to control reviews, setting clear objectives, managing timelines and budgets, and facilitating regular status updates.
- Maintain strong expertise in broker-dealer regulatory requirements and monitor changes in the regulatory landscape to assess their impact on reporting processes.
- Represent the Finance Controls function in discussions with senior leadership, providing insights and updates on control effectiveness and risk exposure.
- Collaborate with external auditors and internal stakeholders to address audit findings and ensure timely resolution.
- Strong grasp of accounting principles and financial reporting impacts under both U.S. GAAP and IFRS, including treatment of financial products across P&L, balance sheet, and off-balance sheet items.
Professional Background:
- Minimum of 8 years of experience in regulatory oversight, financial reporting, or internal controls within the banking or financial services sector.
- Prior exposure to regulatory bodies such as the SEC, FINRA, or CFTC is highly beneficial.
- Demonstrated success in managing complex control environments and regulatory deliverables.
Educational Qualifications:
- Bachelor's degree in Accounting, Finance, or a closely related discipline is required.
- Professional certifications such as CPA or FINRA Series 27 are considered strong assets.
- Advanced academic credentials (e.g., Master's degree) are a plus.
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