Skip to main content

About 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.

Matching similar jobs

JOB OVERVIEW

Experience level

Manager

Location

White Plains, NY

Occupation

Treasurers and Controllers

Industry

Portfolio Management and Investment Advice

Posted

yesterday

Tired of running searches?

Rank the roles you'd take once, and matches like these arrive on their own.

CREATE PROFILE (opens in a new tab)