Head of Regulatory Capital & Reporting (Broker-Dealer)
Nextera Search
Nextera Search is seeking a professional in New York, NY to oversee compliance with broker-dealer regulatory capital requirements. You will perform daily regulatory capital calculations and ensure adherence to financial responsibility rules. The ideal candidate has 7–12 years of experience in regulatory reporting or financial reporting, with a degree in Accounting or Finance. Proficiency in Excel and familiarity with data analytics tools like Dataiku or Alteryx is preferred. #J-18808-Ljbffr Nextera Search
- ...Manager, U.S. Broker Dealer Regulatory Reporting Requisition ID: 257592 Salary Range: - Please note that the Salary Range shown is a guideline... ...Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing...SuggestedLocal areaFlexible hours
- ...leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers a strong work-... .... Key responsibilities include preparing the daily net capital and customer reserve formulas, assisting with Focus filings...Suggested
$89.8k - $170.5k
...looking for a Assurance Manager to join our Capital markets practice, which specializes in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets... ...review work product that they prepare and report on performance while articulating coaching...SuggestedWork experience placementInternshipLocal area$200k - $250k
...solutions across mergers and acquisitions, capital solutions, financial restructuring, and... ...seeking to support its quickly-growing Broker-Dealer and Capital Markets practice with an... ...Quote aggregators & pre/post-trade reporting We now consistently rank as the #1 most...SuggestedInternship- Larson Maddox is seeking a Regulatory Reporting Specialist in New York, NY. This role involves daily customer and PAB reserve calculations, preparation and analysis of FOCUS reports, and collaborating with front-office, operations, and control teams on regulatory matters...Suggested
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first 25 applicants... ...$200,000.00-$210,000.00 6 days ago Executive Director, Head of Clinical Quality Assurance Jersey City, NJ $252,000.00...Full timeWork at officeRemote work- ...Assistant General Counsel, Capital Markets, Broker-Dealer & FinTech About the Company Leading operator of financial markets for international... ...laws and regulations, capital markets transactions, and regulatory compliance. The ideal candidate will have a strong...
- **Responsibilities:**RSM is looking for a Assurance Manager to join our Capital markets practice, which specializes in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets practice is nationally integrated and operates across geographies...
$120.8k - $137.9k
...Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the... ...in executing and enhancing Capital One’s Commercial Banking... ..., FINRA (Financial Industry Regulatory Authority), CFTC (Commodity... ...launches. Documentation & Reporting Maintain comprehensive, audit...Full timePart timeLocal area- ...A leading financial consulting firm in New York is seeking an experienced Accounting Manager. This role involves managing regulatory reporting, financial statements compliance, and preparing detailed analyses for financial performance. The ideal candidate will have a...
- A leading assurance firm in New York is seeking an Assurance Manager for its Capital markets practice. The role involves serving broker dealer clients and leading assurance teams. Candidates should have a BS/BA in Accounting, CPA or CA certification, and a strong background...
$213.31k - $355.45k
...General Counsel. This SVP will report to the Executive Vice... ...focuses primarily on LPL’s broker-dealer and custodial platform business... ...leadership, shaping legal and regulatory strategy for LPL’s broker-dealer... ...hedge funds, venture capital funds, private equity funds,...Work from home$110k - $165k
...hands‑on Senior Accountant with broker‑dealer experience to own complex... ...ensure accurate financial reporting in a regulated environment.... ...environment Broker‑Dealer & Regulatory Accounting Support preparation... ...(e.g., FOCUS reporting, net capital, reserve calculations)...Temporary workWork at officeWorldwideMonday to Friday- Finance - Broker Dealer Analyst - Fall 2026 US Graduate Program New York... ..., client engagement, and regulatory responsibilities. Depending... ...participants may assist with audits, reporting, compliance, financial... ...in supporting the firm’s capital markets activities by delivering...Full timeImmediate start
- Quality Technology Services, LLC is looking for a Senior Project Manager, Reporting - Planning & Controls, who will be responsible for producing accurate, decision-grade capital reporting throughout the development lifecycle. The ideal candidate will have over 5 years of...
$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly motivated... ...offices according to the appropriate regulatory schedule. Designated Principals Maintenance...Full timePart timeWork at officeLocal areaFlexible hours$265k - $305k
PIMCO is seeking a Senior Vice President to lead Legal and Compliance for its broker-dealer, responsible for overseeing regulatory compliance and distribution activities. This high-impact role includes managing FINRA interface, drafting fund distribution agreements, and...- A digital asset firm is seeking a Head of Compliance in New York. This role involves ensuring regulatory compliance for the firm’s US entity, with direct responsibilities... ...have 8-12 years of compliance experience in broker-dealers or investment banks, with relevant licenses...Flexible hours
$159.4k - $181.9k
Trade Surveillance Manager (Broker-Dealer & Swap Dealer) - Capital One About the Role We are seeking a highly... ...compliance with SEC, FINRA, CFTC, and NFA regulatory requirements. The ideal candidate... ...rule breaches. Documentation & Reporting Ensure complete and accurate...Full timePart timeLocal area$159.4k - $181.9k
...enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role... ...operations and ensuring compliance with regulatory requirements, while also managing and developing... ...offers a competitive salary range of $159,400 - $181,900. #J-18808-Ljbffr Capital One$190k - $225k
...looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This individual supports... ..., surveillance, investigations, regulatory reporting, and compliance testing. Serve as a key escalation...Full timeWork at officeRemote work- ...products. Candidates should have at least 2 years of experience in the financial sector, strong communication skills, and an understanding of capital markets. The position supports a hybrid work environment, permitting flexibility in work location. #J-18808-Ljbffr SMBC Group
$80k - $232.05k
...fast-growing retail investment adviser/broker-dealer. PNCWM’s advice and planning model places... ...investment adviser and broker-dealer regulatory matters to join a team of legal professionals... ...PNC’s Retail Banking, Private Bank and Capital Markets businesses, as well as PNC’s...Full timeTemporary workPart timeWork experience placementWork at office$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities... ..., as well as knowledge of various regulatory reporting requirements. Such guidance is tailored... ...bodies. Responsibilities Support the Head of U.S. Broker-Dealer Compliance. Provide...Immediate start$110k - $165k
...audit readiness. Responsibilities include preparing financial reports, journal entries, and account reconciliations. Ideal candidates... ...will have 3-7+ years of relevant experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA reporting...Work at office- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of... ...surveillance of trading activity, updating policies, and handling regulatory reporting. This position offers an opportunity to stay engaged with...
- ...years of experience in U.S. securities back-office operations and an understanding of Japanese securities management. The role includes providing feedback to product development teams and ensuring compliance with regulatory reporting. #J-18808-Ljbffr Framework VenturesRemote jobWork at office
$90k - $150k
...such as wires and deal documentation Work with Controller on liquidity planning, capital calls and valuations Track performance of the portfolio companies Work with IR team on reporting and managing information for internal dashboards Assist with investor...Full timeWork at office$125k - $175k
...individual company or sector notes, through to long dated thematic reports. Presentation of Research views to Barclays Clients; this can... ...for how we behave. Join Barclays as an Equity Research Broker/Dealers and Asset Managers AVP, where you’ll have the chance to collaborate...Hourly payFull timeWork experience placement$150k - $225k
Vice President, Independent Broker Dealer (IBD) Channel Marketing Manager page is loaded## Vice President, Independent Broker Dealer (IBD)... ...expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities,...Flexible hours
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