Regulatory Reporting Manager - Broker-Dealer

Overview
Our client, a leading financial institution, is seeking a seasoned Regulatory Reporting Manager to join their Broker-Dealer Regulatory Reporting Group in the Americas. This role plays a critical part in ensuring accurate and timely regulatory filings while maintaining strong relationships with U.S. regulators including the SEC, FINRA, CFTC, CME, and FRBNY. The team works in close partnership with FCM and Securities Operations, Front Office, Internal and External Audit, and various control functions.

Key Responsibilities

• Oversee and perform calculations, preparation, and analysis for CFTC Segregated, Secured, and Swaps Protection formulas, including SIDR reporting.

• Lead preparation, review, and analysis of SEC Rule 15c3-1 Net Capital computations.

• Maintain and strengthen existing relationships with regulatory bodies.

• Identify and implement automation opportunities for legacy manual reporting processes.

• Review and analyze additional regulatory deliverables including Leverage, Liquidity, Regulatory Surveys, and ad hoc reports.

• Contribute to cross-training efforts and staff development within the team.

• Lead and support internal, external, and regulatory audits, with a focus on continuous control enhancement.

• Analyze and review monthly FOCUS reports and all weekly/bi-weekly regulatory filings.

• Supervise and guide the CFTC Regulatory Reporting team to ensure compliance and timely submissions.

Candidate Profile

The successful candidate will be part of a global finance division that supports financial and strategic steering, capital efficiency, and regulatory compliance across the organization. The position demands an individual with deep technical expertise, a strong operational mindset, and the ability to drive process improvement.

Required Skills & Qualifications

• Extensive knowledge of CFTC Segregation, Secured, and Cleared Swaps Customer calculations, including residual interest and related notifications.

• Strong understanding of SEC Rule 15c3-1 and broker-dealer/FCM operations.

• Ability to define and refine reporting requirements in evolving regulatory environments.

• Proven ability to independently analyze complex issues and meet tight deadlines.

• Excellent communication skills; able to interact effectively with colleagues at all levels.

Technical Proficiency

• Advanced Excel skills and experience working with large datasets.

• Experience in automating and enhancing regulatory reporting workflows.

Experience & Certifications

• 7-10 years of relevant industry experience in a regulatory reporting or finance function.

• FINRA Series 27 license required.

• Strong knowledge of CFTC customer protection regulations and familiarity with foreign carrying brokers.

• Solid accounting background.

Education

• Bachelor's degree in Accounting, Finance, or a related field is required.

• Advanced degree (MBA, MS) is a plus.