Broker Dealer Regulatory Reporting Controller

Overview

A global investment bank is seeking a VP-level Finance Control professional to join its U.S. regulatory reporting oversight function. This team acts as a second-line control group, ensuring the integrity of financial and regulatory reporting processes across the Americas. The role covers broker dealer reporting obligations under SEC, FINRA, and CFTC rules, with significant interaction across front office, operations, risk, finance, and external auditors.

Key Responsibilities

• Perform second-line reviews over broker dealer regulatory reporting requirements, including SEC 15c3-1, 15c3-3, 17a-13, FINRA 2231/4210, and CFTC Segregation rules
• Design and execute test plans: sample selection, walkthroughs, control testing, issue identification, and reporting of findings
• Partner with first-line teams to evaluate control frameworks and recommend enhancements
• Stay current on regulatory changes and industry best practices, assessing their impact on reporting obligations
• Represent the Finance Control function in front of senior management, regulators, and external auditors
• Coordinate remediation of audit/regulatory findings with relevant business and support teams
• Drive automation and process efficiency within control testing using tools such as Alteryx, PowerBI, or Spotfire
• Mentor junior staff and contribute to the long-term development of the Finance Control team
• Provide coverage across multiple product lines: equities, fixed income, derivatives, commodities, loans, and funding vehicles

Qualifications

• 7 years of broker dealer regulatory reporting or controls experience
• Direct knowledge of at least two major reporting rules (15c3-1, 15c3-3, 17a-13, FINRA 2231/4210, CFTC Seg)
• Strong audit or financial control background within a broker dealer or investment bank
• Understanding of financial product flows and their impact on P&L, balance sheet, and regulatory reporting under US GAAP and IFRS
• Hands-on experience managing control reviews, testing, and issue remediation
• Excellent communication skills with ability to interact across staff levels and management
• Bachelor’s degree in Accounting, Finance, or related discipline; Series 27 or CPA a plus
• Advanced degree or regulatory experience with SEC/FINRA/CFTC preferred