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
$150k - $180k
...in today’s fast-paced markets.About the Role:Clear Street is looking for an Associate Director of Tax Reporting & Compliance to join our Tax team. Reporting to the Head of Tax, you'll own U.S. federal tax reporting and compliance for our consolidated group, working...SuggestedFixed term contractWork at officeLocal areaClear Street
New York, NY9 hours ago- ...A Bank in New York City is seeking an experienced professional to join their Regulatory Reporting team as an Associate. Responsibilities: Prepare daily net capital calculations for regulated broker-dealer entities in accordance with applicable requirements. Calculate...SuggestedFull time
Nextera Search
New York, NY3 hours ago - ...Key Responsibilities This role supports Regulatory Issue Management and Axiom implementation by ensuring issues are tracked, documented... ..., and Axiom Phase II objectives. As part of the Regulatory Reporting Change Management Team within the Americas Finance Department...SuggestedFull timeWork at office
Phyton Talent Advisors
New York, NY1 day ago - ...and the planet we all share.The role holder will lead the U.S. Regulatory Reporting and RWA maintenance and change delivery programs, ensuring... ...sourcing and integrity of regulatory reporting controls.As our US Head of Regulatory Reporting Change Delivery, you will:Change...SuggestedWork at office
HSBC Group
New York, NY2 days ago - ...preparing, reconciling, analyzing, and filing US and Cayman Islands regulatory reports, maintaining reporting systems and documentation, supporting... ...of timely and accurate monthly financial reporting to Head Office. o Maintain procedural documentation current. o...SuggestedFull time
LevelUP HCS
New York, NY4 days ago - ...New York. This is a senior, hands-on position with responsibility across financial control, broker-dealer accounting and regulatory reporting. The individual will work closely with senior leadership and partner across Finance, Risk, Compliance, Operations and other...Full time
Bruin
New York, NY3 days ago $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...Temporary workMorgan Stanley
New York, NY9 hours ago- ...line with the job specs as found below. This role supports Regulatory Issue Management and Axiom implementation by ensuring issues are... ..., and Axiom Phase II objectives. As part of the Regulatory Reporting Change Management Team within the Americas Finance Department...Work at office
Phyton Talent Advisors
New York, NY1 day ago - ...revenue exceeding $450 million and net income of more than $133 million (based on our 2025 Annual Report). About the Role: We are seeking a talented and motivated Regulatory Financial Reporting Manager to own and lead bank-specific regulatory reporting as Sezzle builds...For contractorsRemote work
Sezzle
New York, NY2 days ago - ...Clearwater Analytics, LLC seeks a Senior Product Manager to own the strategy, roadmap, and delivery of regulatory reporting products. You will translate complex regulatory requirements into scalable features, collaborate with engineering, data teams, and external clients...
- ...lead the governance, framework design, and end-to-end production of Schedule L for FR Y-14Q (stressed/unstressed) and FR Y-14A regulatory reporting. This position drives the strategic development of reporting infrastructure, scalability, and cross-functional integration...Full time
HW3
New York, NY9 hours ago - ...One of our direct Financial Services client is hiring for the below role in International Regulatory Reporting or compliance implementations, below are the details: Title: Business Analyst / Project Manager Location: New York, NY Duration : 12 months YOUR...Full time
Mindlance
New York, NY4 days ago $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- Mizuho is seeking a Regulatory Reporting professional in New York focused on futures-related disclosures and securities regulatory reporting. You will prepare daily net capital computations, capital charges, and weekly/monthly regulatory filings, collaborating with multiple...
$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$123k - $215.25k
...In addition, IAG has a Professional Practices group responsible for managing audit operations, quality, and standards; regulatory relations; reporting; training and professional development; and key internal capabilities and technologies.The Finance team within the Internal...WorldwideAmerican Express
New York, NY1 day ago- ...a collaborative spirit, work with us. You can come to work being proud of what you do every day. The Director of Finance & Regulatory Reporting will serve as a strategic finance leader responsible for driving enterprise-wide financial analysis, healthcare economics insights...
$120k - $150k
...Job description Business type Types of Jobs - Finance / Accounting Job title Regulatory Reporting Analyst Contract type Permanent Contract Management position No Job summary Summary: U.S. GAAP accountant that is able to handle...Permanent employmentContract workWork at officeLocal areaCrédit Agricole S.A.
New York, NY4 days ago- ...We’re looking for a Financial Regulatory Reporting Associate with a strong background in financial accounting and U.S. regulatory reporting. Responsibilities: Prepare daily/weekly/monthly/quarterly/annual and ad-hoc regulatory reports including, but not limited...
Phyton Talent Advisors
New York, NY2 days ago - ...Hiring: Financial Regulatory Reporting Associate Industry: Banking / Financial Services Domain Location: New York, NY – 6th Avenue of the Americas Hybrid: 2–3 days onsite/week 4-Month Contract | Potential Extension Client is seeking a Financial Regulatory...Contract work2 days per week3 days per week
REQ Solutions
New York, NY4 days ago $88k - $110k
Summary In this position, you will leverage your background in accounting / finance and be responsible for securities regulatory reporting with a specific focus on futures. Regulatory Reporting, Responsibilities Including Preparation of daily 15c3-1 daily net capital computation...Work at officeLocal areaRemote workWorldwide- BBVA Group's New York Branch is seeking a Regulatory Reporting Manager to own end-to-end U.S. regulatory submissions, ensuring accuracy, timeliness, and compliance with Federal Reserve, NYSDFS, and related rules. You will lead filings such as FR 2420, FR 264, FFIEC 002...
$130k - $160k
...inclusive. Visit Our People page to learn more about Tapestry’s commitment to equity, inclusion, and diversity. Sr. Manager, Tax Reporting & Compliance Primary Purpose: Tapestry is seeking a highly motivated and experienced Senior Manager, Tax Reporting & Compliance to...Shift work$156.4k - $210.84k
Sr. Product Manager I - Regulatory Reporting page is loaded## Sr. Product Manager I - Regulatory Reportinglocations: Office - New Yorktime type: Full timeposted on: Posted Yesterdayjob requisition id: R12397We're looking for a Senior Product Manager to own the strategy...Work at office- ...Clearwater Analytics seeks a Sr. Product Manager I to own the strategy, roadmap, and delivery of regulatory reporting products. You will partner with engineering and data teams, translate regulatory requirements into scalable capabilities, and engage with internal...
$65k - $75k
Title: Regulatory Reporting Analyst Business Unit(s): Portfolio Administration Department: Fund Administration Reporting to: Regulatory Reporting Manager Location: Tampa, FL; New York, NY FLSA Status (US Staff only): Full-Time Exempt Summary: VanEck is a privately held...Full timeLocal area3 days per week- A prominent consultancy firm in New York is looking for a Regulatory Reporting Consultant to support the remediation and enhancement of key U.S. regulatory reporting functions. The ideal candidate will perform detailed data analysis, collaborate with technology and compliance...
$40k - $55k
...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 insurance...Full timeWork at officeRemote work- Forvis Mazars, LLP is seeking a Senior Consultant in Risk & Regulatory to support regulatory reporting, data accuracy, and process improvements. You will work with regulatory reporting, data, and technology teams to ensure high-quality submissions across product areas....Full time
- ...for a high caliber professional to join our team as Officer, Regulatory Reporting Analyst 2 based in Singapore. Being part of our team means that... ...Organization that will report up through the Global Head of Regulatory and Capital Reporting. The individual will support...Local area
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