Head of Regulatory Reporting
$170k - $230kPhaxis
2 days ago Be among the first 25 applicants This range is provided by Phaxis. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $170,000.00/yr - $230,000.00/yr Direct message the job poster from Phaxis Compliance, Fincrime, & Risk Management | Talent Acquisition, Relationship Building Overview: A global investment bank is seeking an experienced and strategic leader to serve as the Head of Regulatory Reporting. This individual will oversee all aspects of U.S. broker-dealer regulatory reporting and drive process enhancements, governance, and compliance with SEC and FINRA requirements. This is a high-impact leadership role with cross-functional visibility and responsibility for the firm’s compliance with SEC Rules 15c3-1, 15c3-3, 17a-5, and related filings. Key Responsibilities: Lead the Regulatory Reporting team in the preparation, review, and submission of all broker-dealer regulatory filings, including: FOCUS Reports (SEC Rule 17a-5) Customer and PAB Reserve Formula Computations (SEC Rule 15c3-3) Net Capital Computations (SEC Rule 15c3-1) Maintain and enhance internal control frameworks to ensure compliance with SEC and FINRA Financial Responsibility Rules. Oversee regulatory interpretations for new business initiatives; advise senior leadership on implications for net capital and reserve requirements. Act as key liaison with FINRA, the SEC, and internal/external auditors during examinations and audits. Drive automation and process improvement initiatives within the regulatory reporting function. Manage, mentor, and develop a high-performing team of regulatory reporting professionals across geographies. Ensure that written policies and procedures are current, complete, and aligned with evolving regulatory standards. Participate in industry working groups and stay abreast of rule changes, best practices, and emerging risks. Qualifications: 10+ years of progressive experience in broker-dealer regulatory reporting within investment banking or public accounting. Deep expertise in SEC Rules 15c3-1 and 15c3-3, and FOCUS reporting (Rule 17a-5). Strong understanding of U.S. broker-dealer financial responsibility rules and related regulatory filings. FINRA Series 27 license (or ability to obtain shortly after hire). Bachelor’s degree in Accounting, Finance, or related field; CPA preferred. Proven leadership and people management experience; ability to lead a team in a high-pressure environment. Strong Excel and data analysis skills; experience with regulatory reporting systems (e.g., WolfPAC, RegInsight, or in-house tools) a plus. Excellent communication and stakeholder management skills, with the ability to present clearly to executive leadership and regulators. Seniority level Seniority level Director Employment type Employment type Full-time Job function Job function Finance and Accounting/Auditing Industries Financial Services and Investment Banking Referrals increase your chances of interviewing at Phaxis by 2x Sign in to set job alerts for “Head of Reporting” roles. Jersey City, NJ $120,000.00-$150,000.00 1 week ago Head of Reporting and Technical Accounting Whippany, NJ $161,000.00-$214,600.00 1 month ago New York, NY $160,000.00-$185,000.00 1 year ago Head of Client Data and Performance Reporting New York, NY $180,000.00-$240,000.00 1 month ago New York City Metropolitan Area 2 weeks ago East Hanover, NJ $185,500.00-$344,500.00 2 days ago New York, NY $125,775.00-$209,625.00 2 weeks ago Rutherford, NJ $175,000.00-$225,000.00 1 week ago Executive Director, Lead Technology Finance Business Manager New York, NY $165,000.00-$275,000.00 2 weeks ago Head of Financial Reporting - Private Equity New York City Metropolitan Area $240,000.00-$265,000.00 3 days ago New York, NY $120,000.00-$140,000.00 1 month ago New York, NY $167,000.00-$228,500.00 1 week ago New York, NY $145,000.00-$155,000.00 1 month ago Senior Director, Head of US Patient and Professional Advocacy Princeton, NJ $272,000.00-$292,000.00 1 week ago New York, NY $270,000.00-$300,000.00 2 weeks ago VP, Revenue Operations, CNN Digital Products & Services New York, NY $175,000.00-$325,000.00 2 months ago New York, NY $203,500.00-$275,000.00 2 weeks ago New York, NY $170,000.00-$200,000.00 3 weeks ago New York, NY $150,000.00-$200,000.00 1 month ago New York City Metropolitan Area $200,000.00-$250,000.00 2 weeks ago New York, NY $150,000.00-$250,000.00 2 weeks ago SaaS Controller, Growth Track to VP of Finance Fairfield, CT $165,000.00-$185,000.00 5 days ago New York City Metropolitan Area $100,000.00-$225,000.00 1 month ago New York, NY $170,000.00-$200,000.00 1 day ago New York, NY $68,000.00-$150,000.00 3 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Phaxis
$90k - $155k
Position SummaryWe are seeking a detail-oriented and technically strong Regulatory Reporting director to support the preparation, review, and submission of U.S. bank regulatory reports and related filings. The role will be responsible for the timely and accurate completion...SuggestedTemporary work- ...are and what they contribute.To learn more about CIBC, please visit CIBC.comWhat you'll be doingThe Senior Manager, Regulatory Reporting supports the Head of Regulatory Reporting in the preparation, review, and submission of U.S. regulatory reports for the bank’s...SuggestedFull timeRemote workFlexible hours3 days per week
$82k - $133k
Trade Transaction Reporting Operations (TTRO) within Operations Risk and Regulatory Control (ORRC) has the responsibility for ensuring that Morgan Stanley fulfils its reporting obligations in a timely and accurate manner for specific jurisdictions by partnering with teams...SuggestedTemporary workWork experience placementBank staffShift work- Sezzle is seeking a Director of Regulatory Reporting to own bank regulatory filings as it expands banking operations. You will lead and scale the reporting function, partnering with Finance, Legal, Compliance, and leadership to ensure timely, accurate submissions. Role...SuggestedRemote job
- ...Director to join their Manhattan, NY office, focusing on financial reporting and close processes for a digital investment platform client.... ..., prepare journal entries and reconciliations, and support regulatory filings while ensuring US GAAP compliance. This role requires...SuggestedWork at office
- MPI in New York City is seeking a Regulatory Reporting Associate to support financial reporting processes ensuring compliance with FINRA and SEC regulations. The role involves preparing regulatory reports, data analysis, inter-department collaboration, and maintaining...Permanent employment
- ...Specialist for the Supervised Release Program (SRP) to support SRP staff with compliance measures. You will oversee data collection and reporting to ensure accurate compliance documentation and client court records. You will work with SRP case managers and court advocates to...
- ...administration of the firm’s Compliance and Anti-Money Laundering (AML) programs. The role involves assisting in compliance monitoring, regulatory reporting, and managing staff compliance training. The ideal candidate will have experience in compliance and AML regulations, KYC...
- ...investment professionals to uphold industry-leading CLO practices. Responsibilities include monitoring CLO tests, reviewing investor reports, indentures, and vendor relationships while collaborating with PM, trading, and structuring teams. Requires a finance-focused...
$90k - $155k
Position Summary We are seeking a detail-oriented and technically strong Regulatory Reporting director to support the preparation, review, and submission of U.S. bank regulatory reports and related filings. The role will be responsible for the timely and accurate completion...Temporary work- A global banking institution is seeking a Regulatory Business Analyst specializing in Transactional Regulatory Reporting in New York. The role involves business analysis, gathering requirements from end-users, and supporting operational teams. Candidates should have a...Contract work
$75k - $85k
The Regulatory Reporting Associate will support financial reporting processes to ensure compliance with FINRA and SEC regulations. Investment bank and full service broker-dealer Description Prepare and submit regulatory reports in compliance with industry standards...Permanent employmentWork at officeLocal area$64.07k - $99.79k
The Senior Compliance Reporting Specialist will be responsible for ensuring compliance with the Physician Payments Sunshine Act by accurately... ...review HCP expenses for compliance with company policies and regulatory requirements. Identify and resolve any errors or discrepancies...Full timeWork experience placementImmediate startRemote work- ...review elements of the firm's daily and monthly Net Capital calculations. Assist in the preparation and review of the FOCUS Report and other regulatory filings. Prepare and/or review monthly, quarterly, and annual regulatory reports, including the Supplemental Inventory...Extra incomeWork at office
- Join JPMorganChase's Firmwide Regulatory Reporting & Analysis group, where you'll sit at the intersection of regulatory strategy, capital oversight, and enterprise-level reporting. This is an opportunity to shape how the firm meets its most critical regulatory obligations...Work at office
- PRI Technology is seeking a regulatory reporting specialist in New York to support daily and monthly Net Capital calculations, customer reserve reviews, and regulatory filings in a fast-paced financial services environment. The role involves preparing FOCUS reports, SIS...
- ...Business Consulting, Risk & Compliance for the United States (New York / New Jersey). The role requires must-have CCAR and CECL regulatory reporting experience, with hands-on GRC delivery across financial institutions and a strong focus on risk management and compliance....
- A financial services recruitment firm in New York is seeking an experienced professional to oversee the end-to-end regulatory reporting workflow for investment management operations. The ideal candidate will prepare, review, and file various regulatory documents and coordinate...
- ...Regulatory Reporting Analyst Are you looking for a new challenge to grow an exciting SaaS company as a Regulatory Reporting Analyst? Then continue reading… Location: Hybrid – New York Job Type: (Full-Time) Our interview process: Step 1: After you apply,...Full timeWork experience placementRemote workFlexible hours
AQMetrics
New York, NY4 days ago $77k - $98k
...and work remotely one day. A member of our recruitment team will provide more details.Financial Reporting AnalystThe Financial Reporting Analyst reports to the Regulatory Reporting Manager and is responsible for the timely and accurate preparation and filing of various...Work at officeLocal areaRemote workMUFG
New York, NY2 days ago$110k - $150k
...A major financial institution in New York is seeking a regulatory reporting professional responsible for the timely submission of the FR2052a report. You will prepare detailed reports, perform variance analysis, and communicate with regulators. The ideal candidate will...Crédit Agricole Group
New York, NY3 days ago$45 - $47 per hour
...0/hr - $47.00/hr This role includes, but is not limited to the following activities: Assisting in the review of the US Banks regulatory reports (FFIEC 031-Call Report, FR2900, FR2644, FRY8), as well as ensuring that appropriate auditable documentation for all reports exists...Contract workCompunnel
New York, NY2 days ago- A globally recognized staffing firm is seeking a Manager of SEC Reporting in New York. This role requires preparing quarterly and annual SEC filings, ensuring compliance with regulations, and leading a team to improve financial reporting processes. The ideal candidate should...
$70k - $110k
...Regulatory Reporting Analyst Location: New York, NY Base pay range: $70,000.00/yr - $110,000.00/yr Our client is seeking a Regulatory Reporting Analyst to join a high-visibility regulatory team. This role focuses on regulatory reporting related to derivatives activity...Full timePhyton Talent Advisors
New York, NY2 days ago$40k - $55k
...yr About the Role About the Role Our client, a leading provider of commercial insurance solutions, is seeking an Entry‑Level Regulatory Reporting Analyst to join their growing compliance team. This is an excellent opportunity for someone looking to launch a career in...Full timeWork at officeRemote workSelby Jennings
New York, NY5 days ago- ...Regulatory Reporting Analyst Job Req Id: 26983174 Location(s): Mumbai, Maharashtra, India Job Type: Hybrid Posted: Aug. 10, 2026 Discover your future at Citi Working at Citi is far more than just a job. A career with us means joining a team of approximately 219,000 dedicated...Full time
Citi
New York, NY4 days ago - ...efficiency for Con Edisons E-Mobility programs. The Senior Specialist will be responsible for: Ensuring compliance with all regulatory data reporting requirements for E-Mobility programs Maintaining and managing regulatory deadlines Building dashboards and reports...For contractorsWork experience placementWork at officeNight shift
- ...leading financial services company in New York seeks a Compliance Monitoring Specialist to support governance, compliance tracking, and reporting activities. Ideal candidates should have a Bachelor's degree in Business, Finance, or Law, and must possess strong organizational...
$170k - $267.5k
Who we are looking forThe Global Head of Regulatory Examination Management is a senior leadership role within the Global Regulatory Liaison... ...concise, accurate, and aligned with firm positions.Governance and Reporting: Oversee reporting and escalation protocols for senior...Full timeTemporary workWork at officeLocal areaFlexible hours- Plaid seeks a talented SEC Reporting Manager to bolster readiness for SEC filings and support annual audits. You will work cross-functionally to implement scalable, accurate reporting processes and apply technical accounting expertise to complex transactions. You will collaborate...
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