Director Regulatory Reporting recruitment
Responsibilities:
• Leadership position overseeing financial and other periodic reporting submissions to various broker-dealers and banking supervisory authorities in the US.
• Supervision of capital computations for the SEC, FINRA, CFTC, FED and FSA.
• Principal interface between the broker-dealer and regulatory supervisors with respect to financial responsibility rules (e.g., the ANC Net Capital Rule and Customer Protection Rule)
• Manages supervisory examinations relating to financial/operational matters
• Analyzes new products and specific transactions for financial regulatory control adherence and capital impact
• Provides interpretive guidance on financial regulatory matters to business units within the firm
• Assists in managing regulatory capital and risk weighted asset limits
• Sponsor multiple tactical and strategic projects
• Interface with Operations, Product Control, Compliance, Legal and Head Office.
Requirements:
• 10+ years industry experience within Financial Control / Regulatory Reporting
• Must hold current Series 27 FINOP license
• Strong leadership ability and previous experience managing large teams
• Broad understanding of reporting requirements within US Broker/Dealer environment
• Strong 15c3-1 / 15c3-3 knowledge
• Strong local regulatory reporting experience (SEC, FINRA, FRBNY).
• Ability to interact with internal and external senior management including Auditors, Regulators, CFO’s CEO’s
• Bachelors degree Accounting/finance. MBA / CPA preferred
For immediate consideration, please forward resume and contact details to: info@ashtonlanegroup.com
Ashton Lane Group is a boutique executive recruitment firm serving the Banking, Insurance, and Alternative Investment sectors. For the latest opportunities, visit www.AshtonLaneGroup.com
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