Director Regulatory Reporting

The Director of FinOps & Regulatory Reporting is a senior individual contributor / player-coach role — you're close to the work, own the calculations, and are building the infrastructure hands-on while the firm scales.

What You'll Own

• Day-to-day preparation and oversight of Net Capital (Rule 15c3-1) and Customer Protection (Rule 15c3-3) calculations • All regulatory financial reporting — FOCUS reports, SEC/FINRA submissions, and related filings • Month-end close, financial reporting, and reconciliations across trading and operations • Cross-functional coordination with Operations, Treasury, and Risk on compliance and scalability • Supporting audits and regulatory inquiries as a primary point of contact • Building and enhancing controls, processes, and reporting infrastructure in a fast-scaling environment • Active contributor to the self-clearing build-out from a capital and regulatory reporting standpoint

Background

• Day-to-day preparation and oversight of Net Capital (Rule 15c3-1) and Customer Protection (Rule 15c3-3) calculations

• All regulatory financial reporting — FOCUS reports, SEC/FINRA submissions, and related filings • Month-end close, financial reporting, and reconciliations across trading and operations

• Cross-functional coordination with Operations, Treasury, and Risk on compliance and scalability

• Supporting audits and regulatory inquiries as a primary point of contact • Building and enhancing controls, processes, and reporting infrastructure in a fast-scaling environment

• Active contributor to the self-clearing build-out from a capital and regulatory reporting standpoint

• Deep, hands-on experience with 15c3-1 and 15c3-3 — you're doing the math, not reviewing someone else's

• Experience at or supporting a clearing or self-clearing broker-dealer

• Strong working knowledge of SEC/FINRA regulatory requirements

• Comfortable in a lean, fast-moving environment where the process manual is still being written

• Series 27 or 28 preferred (or willingness to obtain)

• Technically sharp and detail-obsessed — regulatory errors are not a "learning opportunity" at this level

• Able to build without a blueprint and operate without hand-holding

• Wants to own something real, not maintain a legacy system held together by hope and Excel

The Person

• Technically sharp and detail-obsessed — regulatory errors are not a "learning opportunity" at this level

• Able to build without a blueprint and operate without hand-holding

• Wants to own something real, not maintain a legacy system held together by hope and Excel