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

New

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
Series 27 a plus
Bacehlor'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, and disability insurance
bonus

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

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

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

New

Senior Lead Compliance Officer - Prime Brokerage & Equities

Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to ...

Location

United States , New York

Salary:

191000.00 - 305000.00 USD / Year

Wells Fargo

Expiration Date

June 14, 2026

Requirements

7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Direct experience supporting a full-service Prime Brokerage platform, including financing, securities lending, margin and institutional clearing platform
Deep expertise in broker-dealer compliance frameworks with a strong focus on Equities Finance activities, including Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3
Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3
Working knowledge of the Risk and Control Self-Assessment (RCSA) process
Understanding of swap dealer rules, Volcker and banking regulations (Reg W and Reg U)
Exposure to cash equities businesses and trading activities
Experience in regulatory exams, audit engagement, and issue remediation
Strong understanding of risk frameworks, governance, and control environments
Strategic mindset with the ability to support business growth initiatives in Equities Finance, including new products, while ensuring a robust and scalable compliance environment

Job Responsibility

Provide compliance coverage for the Prime Brokerage business, including support for Prime Brokerage growth and expansion
Partner closely with business leaders to deliver day-to-day advisory and oversight
Offer flexible compliance support across Cash Equities and broker-dealer activities, including special projects and expanded responsibilities
Interpret and advise on SEC, FINRA, and relevant regulatory requirements impacting equities and prime brokerage
Provide credible challenge and oversight on business activities, new product initiatives, and risk decisions
Support and lead regulatory exams, audits, and issue remediation efforts
Oversee and enhance controls, governance frameworks, and compliance processes
Collaborate with Front Office, Risk, Legal, Operations, and Audit to ensure strong compliance alignment
Identify and escalate emerging risks, and drive proactive solutions as the business grows

What we offer

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement

Fulltime

New

Director of Fund Accounting

We are looking for an experienced Director of Fund Accounting to lead core fund ...

Location

United States , New York

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

10+ years of accounting experience, including significant exposure to hedge fund or alternative investment environments
Strong expertise in month-end close oversight, fund accounting review, and financial reporting
Hands-on experience with BlackLine or similar close management tools
Proven background supporting financial statement audits and working with external auditors
Solid understanding of control environments, reconciliations, and reporting across complex legal entities
Ability to communicate technical accounting topics clearly to executives, cross-functional teams, and external partners

Job Responsibility

Direct the month-end close across fund structures and related entities, ensuring accuracy, timeliness, and consistency in financial results
Oversee shadow accounting activities and maintain a strong control framework that supports reliable books and records
Review accounting output tied to broker-dealer close processes and support required regulatory reporting activities
Partner with internal Accounting and Operations teams to resolve close issues, improve workflows, and align reporting priorities
Manage relationships with third-party fund administrators and other external providers to confirm service quality and accurate deliverables
Coordinate with Investor Relations to prepare and deliver financial information for external stakeholders and reporting needs
Present close status, oversight findings, and recurring reporting deliverables to leadership in a clear and actionable manner
Translate complex accounting matters into concise business updates that support decision-making by senior stakeholders
Support in-office collaboration as part of a four-day-per-week onsite schedule in New York, New York

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

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

New

Settlements Analyst

Location

United States , Dallas

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Experience - 6+ years in brokerage operations, with specific expertise in options settlement, trade clearance and settlements for a self-clearing broker-dealer.

Job Responsibility

Lead daily settlement operations, including fail control functions, buy-ins for aged fails, daily settlement reconciliations, and the launch of options settlement
Oversee seg deficit management, including curing deficits and completing segmentation reporting
Collaborate with internal teams to resolve settlement issues promptly and effectively
Ensure accurate and timely processing of daily entries, adjustments, and corrections in the brokerage platform
Identify, investigate, and resolve escalated trade, cash, and position reconciliation issues
Develop, document, and maintain department procedures, guidelines, and controls to ensure regulatory compliance and operational efficiency
Monitor and report fail exposures to senior management, ensuring robust risk management practices
Support and enhance systems integration to maintain data accuracy, consistency, and completeness across platforms
Serve as the point of contact (POC) for fixed-income escalations, ensuring prompt resolution and effective communication with stakeholders
Oversee and ensure compliance with TRACE and MSRB reporting requirements, maintaining accuracy and timeliness in reporting fixed-income transactions.

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

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Broker-Dealer Regulatory Reporter

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Job Responsibility

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