Regulatory Reporting & Controls Director
robert halfWhite Plains, NY
Regulatory Reporting & Controls Director
robert halfWhite Plains, NY
yesterday
Industries
Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment ActivitiesAbout the role
📊 New Opportunity: Finance Controls & Regulatory Reporting Director 📍Manhattan, NYC I'm partnering with a global financial technology company seeking a finance professional to take ownership of key broker-dealer financial controls and regulatory reporting initiatives. This is an opportunity to take ownership, strengthen financial controls & regulatory reporting processes, and contribute to evolving regulatory initiatives, while partnering closely with CFO. It's an excellent fit for someone with a public accounting or audit foundation who has transitioned into broker-dealer finance and wants to play a meaningful role in leading the finance and control environment.🚀 Why Consider This Opportunity? Direct CFO Exposure: Report to senior Finance leadership and have visibility across the organization Ownership: Help shape financial controls, regulatory reporting, and SOX processes Growth: Join an expanding financial technology platform with the opportunity to grow into a management role
Excellent Benefits:
- 100% employer-paid medical and dental coverage, 401(k) match, commuter benefits, tuition reimbursement, wellness benefits, and more📈 What You'll DoOwn and strengthen broker-dealer financial controls and regulatory reporting processes
- Support SEC regulatory reporting requirements and evolving compliance initiatives
- Perform and oversee SEC Rule 15c3-3 reserve calculations
- Drive SOX initiatives and help enhance internal control frameworks
- Partner with Finance leadership and cross-functional stakeholders on reporting and control matters🔎 What They're Looking For 6+ years of experience in audit, financial controls, and/or regulatory reporting
- Broker-dealer experience is required
- Strong understanding of financial reporting, internal controls, and SOXHands-on experience with SEC Rule 15c3-3 reserve calculations
- Series 27 strongly preferred; willingness to obtain within 3–6 months consideredCPA is a plus
- If you're a finance professional with broker-dealer experience ready for greater ownership, direct executive exposure, and the opportunity to help build out a growing control environment, I'd love to connect.📩 Interested? Apply directly or send your resume to
for a confidential conversation.
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JOB OVERVIEW
Experience level
Manager
Location
White Plains, NY
Occupation
Treasurers and Controllers
Industry
Portfolio Management and Investment Advice
Posted
yesterday
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