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

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

Chief Compliance Officer

We are looking for a dedicated and detail-oriented Chief Compliance Officer to j...

Location

United States , Dallas

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Proven experience in compliance monitoring and regulatory management
Strong knowledge of broker-dealer compliance policies and procedures
Ability to assess risk and conduct audits effectively
Familiarity with reporting requirements, including FinCEN and other regulatory frameworks
Skilled in developing and executing compliance programs and initiatives
Experience with centralized supervisory workflows and record-keeping processes
Excellent communication and collaboration skills to work with various stakeholders
Self or correspondent broker-dealer compliance experience is essential

Job Responsibility

Monitor company adherence to policies and regulatory guidelines, ensuring compliance with state regulations and other applicable standards
Oversee and manage the firm’s compliance programs, including reporting requirements and regulatory frameworks
Conduct assessments and testing of firm activities to identify areas requiring compliance improvements
Handle regulatory management tasks, including identifying new requirements, addressing inquiries, and preparing for regulatory examinations
Collaborate on the creation and implementation of efficient workflows for compliance processes, such as marketing material reviews
Develop initiatives aimed at enhancing compliance awareness across the organization
Support stakeholders by drafting, reviewing, and revising broker-dealer compliance policies and procedures
Provide expertise in broker-dealer compliance, leveraging industry knowledge to maintain standards and address challenges

What we offer

medical, vision, dental, and life and disability insurance
eligible to enroll in our company 401(k) plan

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

Senior Compliance Analyst

Our client, a self‑clearing broker‑dealer operating within a highly regulated fi...

Location

United States , Dallas

Salary:

30.00 - 40.00 USD / Hour

Beacon Hill

Expiration Date

Until further notice

Requirements

5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles
Bachelor's degree in Finance, Business Administration, Law, or a related field
Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers
Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments
Experience working for a broker‑dealer, investment bank, or investment advisory firm
Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53
Exceptional attention to detail and accuracy
Strong communication, organizational, and problem‑solving skills
Ability to manage multiple projects and work independently in a fast‑paced environment
Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools

Job Responsibility

Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations
Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls
Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports
Provide training and guidance to internal teams on compliance policies and industry best practices
Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews
Maintain accurate and organized compliance documentation across multiple areas
Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance
Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up

Fulltime

Senior Compliance Analyst

Our client, a self‑clearing broker‑dealer operating within a highly regulated fi...

Location

United States , Dallas

Salary:

30.00 - 40.00 USD / Hour

Beacon Hill

Expiration Date

Until further notice

Requirements

5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles
Bachelor's degree in Finance, Business Administration, Law, or a related field
Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers
Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments
Experience working for a broker‑dealer, investment bank, or investment advisory firm
Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53
Exceptional attention to detail and accuracy
Strong communication, organizational, and problem‑solving skills
Ability to manage multiple projects and work independently in a fast‑paced environment
Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools

Job Responsibility

Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations
Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls
Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports
Provide training and guidance to internal teams on compliance policies and industry best practices
Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews
Maintain accurate and organized compliance documentation across multiple areas
Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance
Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up

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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