Regulatory Reporting Manager

Regulatory Reporting Manager (Broker Dealer) Key Responsibilities Broker‑Dealer Regulatory Reporting: Own end‑to‑end preparation, review, and submission of FOCUS Reports (Part IIA / IIB) and related schedules; oversee reporting related to SEC Rule 15c3‑1 (Net Capital) and SEC Rule 15c3‑3 (Customer Protection / Reserve Formula); review complex areas including netting and allowable vs. non‑allowable assets, haircuts and concentration charges, customer reserve computations and deposits, PAB versus customer segregation distinctions, affiliate and intercompany balances; assess the impact of new products, business changes, or legal‑entity activity on regulatory reporting. Management & Leadership: Lead, coach, and develop a team of broker‑dealer regulatory reporting analysts; establish clear expectations for quality, documentation standards, and filing discipline; perform detailed review and approval of analyst work with a focus on regulatory defensibility; ensure appropriate coverage, cross‑training, and continuity for key filings and critical rules. Controls, Governance & Exams: Maintain and enhance controls supporting broker‑dealer regulatory reporting in alignment with SOX/FRR and supervisory procedures; own regulatory reporting narratives, desk procedures, and control documentation; coordinate responses to FINRA, SEC, and internal audit exams, including data requests, findings, and remediation; perform root‑cause analysis on reporting issues and lead sustainable remediation. Cross‑Functional Partnership: Partner across different areas of the business line; act as a key Finance point of contact for regulatory inquiries and escalations; explain regulatory outcomes, risks, and issues to senior Finance and business leadership. Process Improvement & Regulatory Change: Drive automation, standardization, and reduction of manual regulatory reporting processes; lead implementation of regulatory rule changes, interpretive guidance, or FINRA/SEC updates; improve data lineage between source systems and regulatory reports. Basic Qualifications Bachelor's degree in accounting or finance, or equivalent work experience. Eight or more years of experience in financial accounting activities. Preferred Qualifications Strong working knowledge of SEC and FINRA broker‑dealer regulations. Prior team leadership, review, or informal people‑management experience. Experience supporting or responding to regulatory exams. Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment. CPA or equivalent professional certification. Direct experience with FOCUS filings, net capital computations, and reserve formula calculations. Prior interaction with FINRA or SEC examiners. Experience supporting multiple broker‑dealer legal entities or complex BD structures. Exposure to capital introduction, clearing, prime brokerage, or correspondent models. Core Competencies & Skills Technical & Regulatory Judgment: Deep understanding of broker‑dealer balance sheet mechanics; strong command of regulatory interpretation and judgment; ability to identify filing and exam risk before submission. Leadership & Communication: Clear, concise written and verbal communication; comfortable challenging unsupported explanations; strong escalation and issue‑framing instincts. Control & Execution Mindset: Exceptionally detail‑oriented with high accuracy standards; strong documentation and audit‑readiness discipline; thrives under regulatory deadlines and scrutiny. Benefits Healthcare (medical, dental, vision). Basic term and optional term life insurance. Short‑term and long‑term disability. Pregnancy disability and parental leave. 401(k) and employer‑funded retirement plan. Paid vacation (from two to five weeks depending on salary grade and tenure). Up to 11 paid holiday opportunities. Adoption assistance. Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law. Hybrid/flexible schedule, which means there's an in‑office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days. Pay Range: $98,175.00 - $115,500.00 U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. #J-18808-Ljbffr U.S. Bank