Broker-dealer regulatory reporter Job at Robert Half (Chicago)

Broker Dealer Regulatory Reporting Analyst

Join Barclays as a Broker Dealer Regulatory Reporting Analyst, where you’ll play...

Location

United States , Whippany

Salary:

80000.00 - 105000.00 USD / Year

Barclays

Expiration Date

Until further notice

Requirements

SEC/FINRA Broker Dealer Regulatory Reporting or equivalent large institution reporting experience
Ability to autonomously execute tasks, evaluate and escalate issues where needed
Attention to detail and ability to present to key stakeholders, including senior leadership and regulators

Job Responsibility

Support daily net capital computations and ensure compliance with U.S. broker-dealer regulatory requirements
Prepare and submit mandatory reports to governing bodies such as FINRA, SEC, CFTC, and CME
Oversee requests from internal and external audits and regulatory examinations
Identify, assess and mitigate prudential regulatory reporting risks
Provide oversight on regulatory reporting, and maintenance of open communication with regulators
Assess the effectiveness of the bank’s internal control processes and governance framework
Prepare and submit regulatory reports to authorities, and provision of support to other departments in their preparation and review of regulatory reports
Analyze and present regulatory data to provide insights into business performance
Develop and implement training programmes to educate employees on regulatory requirements
Communicate and liaise with regulatory bodies

What we offer

Medical, dental and vision coverage
401(k)
Life insurance
Other paid leave for qualifying circumstances
Incentive award eligibility

Fulltime

Relationship Manager - Broker Dealers on the National Partnership Team

The Broker-Dealer Relationship Manager is responsible for cultivating, maintaini...

Location

United States

Salary:

80000.00 - 90000.00 USD / Year

Human Interest

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Finance, Business Administration, Economics, or a related field (or equivalent experience)
3+ years of experience in a broker-dealer or investment-related role, preferably in relationship management, business development, sales or operations
Deep understanding of the broker-dealer landscape, financial markets, and securities trading processes
Strong communication, negotiation, and interpersonal skills, with the ability to influence and engage senior stakeholders
Excellent problem-solving abilities and a keen attention to detail
Proficiency in Google Workspace, Microsoft Office Suite (Excel, PowerPoint, Word) and familiarity with CRM software and industry tools
Knowledge of FINRA regulations, SEC guidelines, advisor compensation and other industry compliance standards

Job Responsibility

Build, develop, and sustain strong relationships with key broker-dealer partners
Serve as the primary point of contact for all broker-dealer inquiries, issues, and escalations
Proactively engage with partners to understand their needs, address concerns, and ensure satisfaction with products and services
Manage the overall partnership lifecycle, from onboarding, activation through ongoing day-to-day account management
Identify opportunities for expanding existing relationships, advancing partnership opportunities in real time and increasing revenue generation
Collaborate with internal teams (sales, marketing, compliance, legal, and operations) to develop tailored and mutually beneficial growth solutions and business initiatives
Contribute to the creation and execution of strategic business development plans aimed at increasing market share and strengthening partnerships
Ensure smooth operational processes between the company and broker-dealers, including daily reporting, mutual customer SLA’s, advisor compensation, sponsorship/corporate events and programs, and compliance matters
Work closely with internal departments to monitor the performance and efficiency of broker-dealer relationships and resolve operational issues as they arise
Provide ongoing training and resources internally and externally to broker-dealer partners on product offerings, processes, and compliance requirements

What we offer

A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees
Top-of-the-line health plans, as well as dental and vision insurance
Competitive time off and parental leave
Addition Wealth: Unlimited access to digital tools, financial professionals, and a knowledge center to help you understand your equity and support your financial wellness
Lyra: Enhanced Mental Health Support for Employees and dependents
Carrot: Fertility healthcare and family forming benefits
Candidly: Student loan resource to help you and your family plan, borrow, and repay student debt
Monthly work-from-home stipend
quarterly lifestyle stipend
Engaging team-building experiences, ranging from virtual social events to team offsites, promoting collaboration and camaraderie

Fulltime

New

Interim Director of Fund Accounting

Our client is seeking an experienced Interim Director of Fund Accounting to lead...

Location

United States , Wayzata

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Extensive fund accounting experience within alternative investments, hedge funds, private funds, or asset management environments
Strong background in month-end close, shadow accounting, fund administrator oversight, and NAV reporting
Experience with broker-dealer accounting and regulatory reporting support
Knowledge of investor allocations, management fees, incentive fees, and fund expense structures
Proven success in strengthening controls, managing audits, and improving accounting processes
Advanced Excel skills and strong executive communication abilities

Job Responsibility

Oversee month-end close across funds, related entities, and broker-dealer structures, including review of journal entries, reconciliations, accruals, and supporting schedules
Lead shadow accounting oversight and review reconciliations between internal records and third-party fund administrator reporting
Monitor NAV reporting, fund activity, cash balances, fees, expenses, and allocation accuracy
Review and strengthen accounting controls, documentation, and governance processes across the platform
Partner with Investor Relations on investor statements, capital activity support, and other key external reporting deliverables
Support regulatory reporting, including Form PF and broker-dealer reporting requirements
Coordinate audit support, including PBC schedules, tie-outs, financial statement preparation, and auditor request management
Prepare leadership-ready reporting on close status, variances, exceptions, and key accounting matters
Identify opportunities to improve efficiency through process enhancements, standardization, and automation tools such as Excel

What we offer

Medical, vision, dental, and life and disability insurance
Company 401(k) plan

Head of Accounting

The Head of Accounting will lead the firm’s technical accounting and policy func...

Location

United States , Chicago

Salary:

270000.00 - 350000.00 USD / Year

Optiver

Expiration Date

Until further notice

Requirements

12–15+ years of progressive experience in technical accounting, financial reporting, accounting advisory, or controllership within financial services or other complex environments
Deep expertise in US GAAP
strong working knowledge of IFRS (or vice versa), with demonstrated ability to operate in multi-reporting frameworks
Experience with US regulatory accounting/reporting in a regulated environment (e.g., broker-dealer, bank, asset manager, fintech with regulatory reporting), including interaction with regulators or examinations
Proven track record leading technical accounting projects across multiple stakeholders and driving issues to resolution
Bachelor’s degree in Accounting or Finance required
CPA strongly preferred (Master’s/MBA a plus)
Exceptional technical depth with practical, business-oriented judgment
Strong leadership presence
able to influence across levels and functions

Job Responsibility

Own the firm’s technical accounting agenda, including research, interpretation, and application of US GAAP and IFRS to complex transactions and new products
Lead the development, maintenance, and governance of global accounting policies, memos, and position papers
ensure conclusions are well-supported and practical to operate
Advise on accounting impacts of business initiatives (new products, legal entity changes, intercompany arrangements), including P&L and balance sheet implications
Ensure the firm’s financial statements, disclosures, and management reporting are prepared in accordance with US GAAP and/or IFRS, with consistent application across entities and regions
Drive accounting judgments related to financial instruments, consolidation, revenue recognition, leases, share-based payments, and impairments
Partner with external auditors on technical positions, emerging issues, and audit requests
manage discussions to timely resolution
Own accounting support for US regulatory reporting (e.g., broker-dealer and other regulated-entity reporting requirements), ensuring accuracy, completeness, and compliance
Interpret and implement regulatory accounting guidance that affects statutory capital, net capital, and regulated entity financial statements (as applicable)

What we offer

discretionary bonus
benefits package

Fulltime

Head of Wealth Management Operations

Savvy is looking for a Head of Wealth Management Operations to design, lead, and...

Location

United States , NYC

Salary:

Not provided

Savvy Wealth

Expiration Date

Until further notice

Requirements

8–12+ years of progressive operations leadership in wealth management
Direct experience in a hybrid RIA + broker-dealer environment (or running operations for both entities)
Deep familiarity with the practical differences between FINRA BD operations and SEC/state RIA operations
Proven record of scaling teams and processes in a high-growth setting
Strong process design chops: you’ve personally rebuilt workflows and reduced cycle time/error rates
Tech-forward operator who has led system implementations and automation projects
Fluent working with Product and Engineering teams
Excellent people leadership and cross-functional communication
Hands-on experience with: Client billing and performance reporting
Custodian administration and integrations (e.g., Schwab, Fidelity, Pershing)

Job Responsibility

Own and evolve the operating model for our wealth management platform across both RIA and broker-dealer entities, including service, supervision support, onboarding, maintenance, trading, and money movement
Foster a culture of innovation, white-glove support, and continuous improvement
Collaborate closely with Engineering, Product, and Advisory teams to drive innovation through all parts of RIA & B-D Operations
Map, redesign, and standardize core workflows including: KYC/AML, suitability, Reg BI and advisory documentation
trading, rebalancing, cash management, and billing feeds
client service requests and lifecycle maintenance
advisor transitions and rep onboarding
client onboarding / ACATs / account opening
Remove friction between channels so advisors and clients experience “one firm,” not two regulatory models
Establish and manage the day-to-day operations of Savvy’s Broker-Dealer, including account opening, transaction processing, supervision, and trade surveillance

What we offer

Competitive salary and equity package
Unlimited PTO + paid company holidays
Access to holistic medical, dental, and vision plans
Company 401(k), Commuter, and HSA/FSA plans
NYC office in the heart of Manhattan
Lunch and snacks provided in the office
Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care
Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)

Fulltime

Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor

In this role, you’ll lead our Securities Compliance team as the Chief Compliance...

Location

United States , San Francisco; New York; Portland

Salary:

242700.00 - 303400.00 USD / Year

Mercury

Expiration Date

Until further notice

Requirements

10+ years of experience working in securities compliance role, ideally at a financial technology company, brokerage, or asset manager
FINRA Series 24 license
additional licenses helpful but not required
Extensive experience with FINRA and SEC regulations on RIAs (Registered Investment Advisor) and BDs (Broker-Dealer)
Experience building regulatory functions from the ground up
Comfort in driving strategy and planning for the function autonomously
Exposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationships

Job Responsibility

Mature our foundational program to manage all of Mercury’s direct regulatory and license obligations, and continually assess our compliance posture in advance of new licensing needs
Supervise employees working on investment-related product offerings and ensure compliance across regulated securities entities (RIA and Broker-Dealer)
Manage examinations/audits (internal and external) or other regulatory inquiries related to licensed activity, including serving as primary point of contact with regulatory bodies
Work across Compliance and key cross functional teams to ensure direct regulatory requirements are sufficiently addressed through compliance programs, product solutions or new operational builds
Support governance efforts on behalf of Mercury’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance health
Support the Compliance function in defining and achieving departmental initiatives, maintaining product support playbooks and best practices, developing and documenting scalable solutions, and liaising with external parties
Contribute to building a strong culture of compliance across Mercury’s teams

What we offer

base salary, equity, and benefits

Fulltime

Front Office Brokerage Operations Lead

The Front Office Brokerage Operations Lead is the dedicated frontline manager an...

Location

United States , Bay Area

Salary:

135800.00 - 245400.00 USD / Year

Cash App

Expiration Date

Until further notice

Requirements

FINRA Licenses: Series 7, 63, and Series 24 (active and in good standing)
5+ years of experience in brokerage operations or financial services, with deep working knowledge of broker-dealer regulatory requirements
3+ years of direct people leadership experience in a regulated financial environment — managing, coaching, and developing teams handling sensitive customer interactions and compliance workflows
Strong understanding of FINRA supervisory requirements — including Rule 3110 (Supervision), Rules 4513/4530 (Complaints), Rule 4511 (Books & Records), and SEC regulatory frameworks applicable to broker-dealer operations
Experience managing regulatory complaint programs — including identification, classification, escalation, and reporting of FINRA-reportable complaints
Demonstrated ability to balance compliance rigor with customer experience — making decisive, defensible calls in gray areas without sacrificing either
Strong analytical skills with proficiency in data-driven decision-making — using metrics to diagnose operational issues, optimize workflows, and present results to senior leadership
Experience overseeing BPO or outsourced operations in a regulated environment — including partner calibration, quality governance, and performance management at scale
Experience with AI/ML-assisted operations — familiarity with LLM tools, automated QA systems, or AI-driven customer communication review in a compliance context
Background in process engineering or operational transformation — designing scalable workflows, SOPs, and knowledge management systems

Job Responsibility

Regulatory & Supervisory Accountability
People Leadership & Team Development
Operational Excellence & Strategic Oversight
AI-First Operations & Innovation

What we offer

Remote work
Medical insurance
Flexible time off
Retirement savings plans
Modern family planning

Fulltime

Head of Trade Surveillance and Best Execution

Come join a cross-functional team dedicated to protecting clients and the firm b...

Location

United States , Chicago

Salary:

170000.00 - 190000.00 USD / Year

tastytrade

Expiration Date

Until further notice

Requirements

Bachelor's degree in Economics, Business, Finance, Accounting, or related field (or equivalent work experience)
FINRA Series 4,7,24, and 63 (or equivalents)
7-10 years of experience in broker-dealer trade surveillance, best execution, trading operations, or trade compliance
Strong working knowledge of FINRA Rules 5310 and 3110, SEC execution and reporting rules, and broker-dealer supervisory frameworks
Experience with trade surveillance and reporting platforms and OMS/EMS systems, plus strong data skills using tools such as Tableau and SQL or similar analytics
Experience with managing relationships with market managers and counterparties
Ability to interpret complex trading and venue data, communicate findings clearly in writing and verbally, and influence stakeholders across trading, operations, risk, legal, and compliance
High integrity, attention to detail, and a control mindset, with comfort working in a fast-paced, regulated trading environment and managing competing priorities

Job Responsibility

Lead the best execution program while continuously improving the firm's trade surveillance and best execution frameworks, policies, and procedures including venue analysis, routing reviews, and regular execution quality assessments and reports under FINRA Rule 5310
Manage trade management operations across the trade lifecycle (capture, allocation, corrections, breaks), ensuring accurate and timely processing and recordkeeping
Leveraging automated surveillance systems, data analytics, and emerging technologies to monitor and analyze trading activity more effectively including tuning alert logic, managing surveillance platforms, and working closely with engineering
Own trade-and execution-related regulatory reporting (e.g., CAT/CAIS, FINRA trade reporting facilities, and, where applicable, Rules 605/606 disclosures)
Coordinating across compliance, legal, and trading desks and reporting to senior management and regulators, while managing a Market Structure and Order Routing Specialist
Ensuring the firm's written supervisory procedures (WSPs) reflect current regulatory expectations and actual practice
Maintain and enhance written supervisory procedures, management reports, and committee materials that document reviews, decisions, and remediation
Partner on projects and system changes involving OMS/EMS, surveillance platforms, and data feeds, including testing, calibration, and control design

What we offer

Performance Bonuses
Stock Purchase Options
401k Plan
Medical/Dental/Vision Benefits
20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday)
10 Paid Sick Days
Gym Membership Reimbursement
Commuter Benefits
Pet Insurance
Wellness & Mental Health Programs

Fulltime

Select Country

Broker-dealer regulatory reporter

Job Description

Job Responsibility

Requirements

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