Broker-Dealer Regulatory Reporter Job at Robert Half (Chicago)

Regulatory Reporting Advisory & Change Head

Lead regulatory reporting advisory and policy function in Germany Controllers. E...

Location

Germany , Frankfurt am Main

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

University degree or other equivalent financial background
Experience in regulatory reporting/policy
In depth knowledge of applicable regulation impacting (German) regulatory reporting
Experience in complex banking organisations
In depth knowledge of Regulatory reporting requirements as well as applicable regulation i.e. CRR2, CRR3 and Basel Accords
Financial Reporting (US GAAP, German GAAP and ideally IFRS)
Banking products and financial instruments
Experience liaising with external regulators and auditors
Professional approach and excellent financial control and regulatory reporting skills
Very good analytical skills, Excellent technical skills (databases)

Job Responsibility

Lead regulatory reporting advisory and policy function in Germany Controllers
Ensuring timely and accurate implementation of local regulatory requirements for Germany entities
Daily coordination with international regulatory reporting policy team and departments involved in local regulatory reporting
Provide regulatory reporting advisory support to whole Germany franchise
Position resides in the Finance area which services German entities including CGME and CEP Germany
The position is key to managing and coordinating with the various in teams in finance and other departments (risk, business) located in country and in other locations (CSC teams and international teams)
Ensure Citi meets new and updated regulatory requirements, implement enhancements on time and in a good quality and to implement enhancement to reporting processes
Closely Cooperate and coordinate with regulatory reporting team based in Frankfurt, covering the delivery of all reporting requirements in a timely and accurate reporting for all legal entities domiciled in Germany
Interact with International teams on regulatory reporting/advisory and policy related matters to ensure knowledge transfer in all directions
Drive change process towards an advisory related team by ensuring further technical improvements and high quality deliveries from the service centres

Fulltime

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

Broker-dealer regulatory reporter

The Broker-Dealer Regulatory Reporter is responsible for compiling, analyzing, a...

Location

United States , Chicago

Salary:

95000.00 - 100000.00 USD / Year

Robert Half

Expiration Date

Until further notice

Requirements

3-5 years of accounting experience, ideally in broker-dealer regulatory reporting
Deep understanding of securities markets, trading mechanisms, and relevant financial instruments
Thorough knowledge of NFA, SEC, FINRA, and other applicable securities regulations
Proficiency in data manipulation, analysis, and reporting tools to extract and interpret complex data sets
Ability to meticulously review data and reports for accuracy and completeness
Excellent written and verbal communication skills to effectively convey complex regulatory issues
Bachelor's Degree in Accounting or Finance required
FINRA Series 99, required to complete within 60 days of employment

Job Responsibility

Data Collection and Analysis: Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements
Report Generation: Prepare and submit various regulatory reports including daily, weekly, and monthly reports such as CFTC FORM 1-FR, FINRA FOCUS, and other required filings based on specific regulatory guidelines
Compliance Monitoring: Monitor trading activity for potential violations of regulatory rules and internal policies, escalating issues to compliance officers when necessary
Regulatory Updates: Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly
Data Validation: Perform quality checks on data accuracy to ensure the integrity of regulatory reports
Collaboration: Work with various departments including accounting, trading, compliance, operations, and legal to gather information and address regulatory concerns
Audit Support: Assist internal and external auditors with regulatory reporting related inquiries

What we offer

medical
vision
dental
life
disability insurance
401(k) plan
free online training

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

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

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

Broker-Dealer Regulatory Reporter

Robert Half

Location:
United States , Chicago

Category:
Finance

Contract Type:
Employment contract

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
March 24, 2025

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