My client, a large commercial retail bank, is looking to hire a Financial Director – Broker-Dealer (US Global Markets). The team is looking for a senior finance leader ready to take ownership of financial control, regulatory reporting, and broker-dealer integrity in a highly regulated environment.
Responsibilities:
- Lead financial control and regulatory reporting, serving as a trusted advisor to senior stakeholders
- Ensure broker-dealer records are accurate, compliant, and capital requirements are met
- Oversee timely, high-quality regulatory and management reporting
- Own month-end close with strong controls and clean financials
- Partner with auditors, regulators, and compliance teams (including FINOP responsibilities)
- Build and lead a high-performing team, driving automation and process improvement
Qualifications:
- Deep experience in financial control and regulatory reporting
- Strong knowledge of broker-dealer regulations (FINRA Series 27, Net Capital Rule 15c3-1)
- Background in regulated financial services environments
- Experience supporting FINRA/SEC reporting
- Strong analytical mindset with attention to detail and ability to meet tight deadlines
- Confidence working with senior leadership and cross-functional teams
- Required: CPA and Series 27
Benefits:
- Salary ranging between $180,000 and $220,000
- Bonus potential up to $80,000
- Strong hybrid working schedule
- Comprehensive health coverage
- Family and life support
- Strong financial benefits – 401(k) match and discretionary contribution
For more information, please apply or contact [email protected] directly.
