Help shape the integrity and reliability of broker-dealer regulatory reporting in a high-impact operations leadership role. You will lead critical reporting, recordkeeping governance, and control execution that supports a strong risk and compliance culture. You will partner closely with cross-functional stakeholders and drive process improvements that strengthen quality and resilience. If you thrive in a control-focused environment and enjoy leading teams through change, this role offers meaningful scope and visibility.
As a Vice President – Regulatory Reporting in the regulatory reporting and controls team, you will lead the day-to-day execution, governance, and continuous improvement of broker-dealer regulatory reporting and related control obligations. You will oversee submissions, attestations, recordkeeping, and exception management to support accurate, timely, and well-documented outcomes. You will lead a team and collaborate with partners across compliance, legal, risk, finance, technology, and audit.
Job responsibilities
- Lead end-to-end delivery of broker-dealer regulatory reporting obligations, with a strong emphasis on FINRA reporting and associated controls, ensuring flawless execution against deadlines and cut-offs.
- Oversee daily control execution, reconciliations, critical reports, and approvals to support accurate and timely submissions.
- Validate reporting quality through documented reviews, evidence capture, and control sign-offs aligned to established procedures.
- Escalate exceptions, errors, and control breaks in a timely manner and coordinate root-cause analysis and corrective and preventative actions.
- Govern Books and Records practices to support record creation, retention, retrieval, and audit or examination readiness.
- Maintain and enhance standard operating procedures, control documentation, and evidence packages supporting the record lifecycle and reporting processes.
- Partner with compliance, legal, and technology stakeholders to assess recordkeeping and reporting impacts from process or system changes and ensure appropriate controls are embedded.
- Oversee Abandoned Property (escheatment) operational execution and controls, including identification, due diligence, reporting, remittance, retention, and exception handling, as applicable.
- Lead strategic migrations and transformations (process, platform, operating model, and/or location changes) with defined milestones, risk and dependency tracking, parallel runs, and cutover governance.
- Maintain audit and regulatory readiness during change initiatives through documentation, evidence retention, approvals, and post-implementation monitoring.
- Lead, coach, and develop a mid-size team through clear objectives, performance management, capacity planning, and cross-training to support coverage resilience.
Required qualifications, capabilities and skills
- 10+ years of relevant experience in capital markets operations, broker-dealer operations, regulatory reporting, or related control and reporting functions.
- Demonstrated understanding of broker-dealer regulatory reporting frameworks and operational expectations (e.g., FINRA, SEC, and FED requirements).
- Proven experience owning end-to-end operational processes with a strong risk and controls mindset.
- Demonstrated people leadership experience, including leading and developing a mid-size team in a production environment.
- Experience leading change initiatives, including migrations or major process and technology changes, with strong execution discipline.
- Strong written and verbal communication skills, including senior-level updates and structured escalation.
- Strong analytical and attention-to-detail skills, including the ability to identify trends, detect anomalies, and drive sustainable remediation.
- Ability to collaborate effectively with stakeholders across compliance, legal, risk, finance, technology, and audit.
Preferred qualifications, capabilities and skills
- Experience with Books and Records control frameworks, record retention, and operating models in a broker-dealer environment.
- Experience overseeing Abandoned Property (escheatment) processes and controls.
- Experience in broker-dealer operations servicing or securities operations.
- Experience driving automation and process improvement initiatives to improve control effectiveness and operational efficiency.
- Familiarity with relevant regulatory topics such as OFAS (Office of Foreign Assets Control Screening), REG W (Regulation W), FED PCS (Federal Reserve Payment, Clearing and Settlement) or comparable broker-dealer regulatory policies and standards.
- FINRA Series 99 (Operations Professional) certification, or willingness to obtain if required.