Job Description :

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 â€ 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 onFINRAreporting 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.

Regulatory Reporting Vice President - Markets Operations – Broker-Dealer Servicing