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

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

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

Internal Audit Senior Manager - Crypto

The Internal Audit function provides independent, objective, reliable, valued, a...

Location

United States , Menlo Park; New York

Salary:

166000.00 - 195000.00 USD / Year

Robinhood

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Accounting, Finance, Computer Science, Information Systems, Data Science, Computer Engineering, or related field
10+ years of experience in compliance or operations within a fast-scaling financial services organization
7+ years of experience in financial services technology audit, including audit leadership or project management
Big 4 audit or consulting background
Regulatory, compliance, and risk management experience in crypto, trading, or payment services
Hands-on experience assessing control environments in crypto exchanges, broker-dealers, custody providers, or similar institutions
Strong track record of managing executive-level reporting and presenting to C-level leaders, Boards, and regulators
Excellent organizational, leadership, and communication skills
Ability to handle ambiguity, deliver on cross-functional projects, and support high-priority needs quickly

Job Responsibility

Lead and execute audits across Operations, Compliance, and Technology for Bitstamp USA in alignment with the Internal Audit Plan
Support Internal Audit leadership in shaping the audit plan, assessing risk, and driving program strategy
Oversee all stages of audit execution, including coordinating third-party providers and internal teams
Present audit conclusions, ratings, and actionable recommendations to senior management, Bitstamp’s management board, and the parent company Audit Committee
Build and maintain strong relationships with senior leaders and risk stakeholders, offering guidance on evolving industry and regulatory expectations
Contribute to developing Internal Audit frameworks, training, communications, and metrics to scale the practice
Support special projects and cross-functional initiatives as needed

What we offer

Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
100% paid health insurance for employees with 90% coverage for dependents
Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more
Employer-paid life & disability insurance, fertility benefits, and mental health benefits
Time off to recharge including company holidays, paid time off, sick time, parental leave, and more
Exceptional office experience with catered meals, events, and comfortable workspaces

Fulltime

Compliance - Reporting & Training Officer

Reporting to the Head of Compliance Transversal division for Americas, the Repor...

Location

United States Of America , NEW YORK

Salary:

140000.00 - 175000.00 USD / Year

Crédit Agricole

Expiration Date

Until further notice

Requirements

Bachelor Degree / BSc Degree or equivalent
5 to 7 years of experience
Analytical skills, including Excel and Powerpoint
Ability to learn the usage of training platforms
Highly organized
written and communication skills
Knowledge on Compliance division mission statement and bank regulatory framework
Data aggregation tools, data visualization tools (PowerBI)
Project management skills

Job Responsibility

Coordinate & Execute the annual training needs assessment analysis
Define & follow-up the annual (Head Office & US) training plans
Improve training plan to maximize user experience/knowledge
Revise or create new training materials with the support of internal experts and/or vendors new trainings
Ensure trainings are assigned according to the list of participants defined by the relevant owner
Create or assist with preparation and delivery of ad-hoc compliance training (face-to-face and/or on-line) based upon changes in regulatory requirements and/or emerging topics
Work with subject matter experts to update regulatory training programs based on new regulatory requirements and, or regulatory findings as per the compliance training assessment process
The Firm’s Compliance Training Programs for Americas will include bank and broker-dealer compliance and regulatory training requirements
Administrate the local Training platform
Interact with HO Compliance training team

Fulltime

Senior Software Engineer - Treasury

The Treasury team is a team of full-stack engineers that are building thoughtful...

Location

United States; Canada , San Francisco; New York; Portland

Salary:

166600.00 - 208300.00 USD / Year

Mercury

Expiration Date

Until further notice

Requirements

4+ years of backend or full-stack development experience
Knowledge of or excitement to learn Haskell
Domain knowledge of RIA and broker-dealer systems that support both individual securities (equities, fixed income) as well as ETFs and mutual funds
Experience leading product and/or infrastructure projects that fulfill State, SEC, and/or FINRA regulatory requirements with a track record of success
Comfortable mentoring both junior and mid-level engineers
Communicates and collaborates effectively with peers and cross-functional counterparts by being helpful and engaged

Job Responsibility

Lead high-impact, cross-functional projects across Treasury engineering, compliance, operations, and risk teams to build stable and scalable systems and processes
Establish a compliant standard for retention, audit trails, and reporting across Treasury
Collaborate with product, compliance, design, and operations to ship thoughtful features for our customers and internal users
Feel a strong sense of product ownership and actively seek responsibility – we want someone excited to help shape and build Mercury’s future
Join a team of experienced and junior product engineers managing billions of dollars of customer assets

What we offer

base salary
equity (stock options)
benefits
reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs

Fulltime

Senior Business Analyst - Post-Trade & Regulatory Change

We are seeking an experienced Senior Business Analyst / Operations Coordinator t...

Location

United States , New York

Salary:

110000.00 - 135000.00 USD / Year

Talan

Expiration Date

Until further notice

Requirements

+10 years of relevant experience in capital markets Operations, post-trade, or back-office transformation roles
Strong expertise in broker-dealer Operations workflows for cash equities and US options, including clearing and custody
Solid understanding of trade lifecycles and post-trade processing
Hands-on knowledge of DTCC and OCC workflows, including TradeSuite interfaces
Experience contributing to or leading a back-office conversion or migration project
Understanding of how OMS feeds back-office systems and how those systems interface with clearinghouses and the general ledger
Good understanding of project governance and documentation best practices

Job Responsibility

Represent Operations in all conversion and vendor meetings, acting as a key point of coordination between internal teams and Broadridge
Produce clear conversion documentation, including executive summaries, key decisions, and deliverables for senior Operations stakeholders
Support the existing roadmap by contributing to key tasks, milestones, and dependencies
Assist in the creation of the chart of accounts for the new subledger
Own testing documentation and execution, including test scripts, expected results, actual results, gap analysis, and remediation tracking, across: Trade capture
Trade settlement
Asset servicing
Non-financial regulatory reporting (Short Interest, Reg SHO)
Security Master and Account Master
Cash and position reconciliations (system vs clearinghouse vs general ledger)

What we offer

401(k) retirement plan with company matching
15 days of paid vacation per year at hire and up to 27 according to seniority (annual untaken vacation days are cashed out)
8 paid holidays + 5 sick days + 2 personal days per year
Company health, dental, and vision insurance plans + FSA
Voluntary STD and LTD
Commuter/transit benefits

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

Looking for more opportunities? Search for other job offers that match your skills and interests.

Similar Jobs for Broker-Dealer Regulatory Reporter

Regulatory Reporting Advisory & Change Head