Broker Dealer Regulatory Reporting Director Job at Madison-Davis, LLC, Florham Park, NJ

WGRmMHl2WmZGUFJIa1hBT0oremtvUWFCU1E9PQ==
  • Madison-Davis, LLC
  • Florham Park, NJ

Job Description

Job title: Broker Dealer Regulatory Reporting Director

Location: Florham Park, New Jersey or NYC

Office status: 3x a week

Salary: $225,000-240,000 + 20% Bonus

Overview:

Our client — a leading global bank with a strong U.S. presence — is seeking a Regulatory Reporting Director to join its Americas Finance team, focusing on US Broker Dealer Regulatory Reporting within its Financial Control function.

This is a high-impact leadership role with direct exposure to regulators (SEC, FINRA, CFTC), senior stakeholders, and critical strategic initiatives. You’ll be driving oversight, transformation, and compliance across some of the most complex regulatory frameworks in global finance.

Responsibilities:

  • Own and lead the monthly FOCUS Report and SEC Rule 15c3-1 Net Capital computation.
  • Identify and mitigate prudential regulatory risks across a wide range of banking products and business activities.
  • Build and oversee robust internal control frameworks to ensure full compliance with U.S. regulatory requirements.
  • Act as a key point of contact for regulatory authorities, fielding inquiries and representing the firm in meetings.
  • Partner cross-functionally with Finance, Ops, Legal, Risk, Compliance, and Treasury to streamline reporting and align on regulatory expectations.
  • Drive regulatory transformation initiatives, including implementation of new regulations and systems integrations.
  • Guide, coach, and develop high-performing teams while embedding a performance-first and compliance-driven culture.

Requirements:

  • 10+ years of 15c3-1 Broker Dealer Reg production experience .
  • Series 27 is not required but they would encourage them to obtain a license once there.
  • Experience managing a team of 5+

Job Tags

Similar Jobs

Equinox

Pilates Instructors, Encino Job at Equinox

Pilates Instructors, Encino OverviewOUR STORYEquinox Group is a high growth collective of the world's most influential, experiential, and differentiated lifestyle brands. We restlessly seek what is next for maximizing life - and boldly grow the lifestyle brands and experiences... 

TalentSource360

Director of Finance Job at TalentSource360

 ...We have partnered with a client in Washington DC to identify a Director of Finance to lead financial planning, budgeting, and analysis functions throughout the organization. This role is responsible for ensuring fiscal responsibility and efficiency by developing robust... 

The PilatesBarre

Business Operations Manager Job at The PilatesBarre

 ...Job description The PilatesBarre Studio Managers are responsible for overseeing the overall experience of the clients along with overseeing the day-to-day operations of the studio. Studio Managers are responsible for ensuring the Studio Coordinators and all staff members... 

The Hatchett Law Firm

Experienced Legal Intake Specialist Job at The Hatchett Law Firm

In Person Looking for a chance to join a close-knit, compassionate team of dedicated legal professionals? Our law firm is expanding and needs the help of an intake specialist to take client relations to the next level and manage our growing caseload. Our ideal candidate...

Petco Animal Supplies, Inc.

Stocker / Cashier Job at Petco Animal Supplies, Inc.

 ...you want to make a real difference, create an exciting career path, feel welcome to be your whole self and nurture your wellbeing, Petco is the place for you. Our core values capture that spirit as we work to improve lives by doing whats right for pets, people and our...