Regulatory Reporting & Finance Controls, Director
Robert Half Finance & Accounting
New York, NYJobSeen todaySeen in employer's feed today
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Job overview
The Director will strengthen finance controls and oversee broker-dealer regulatory reporting activities in New York. The role focuses on accurate, compliant financial operations, including Rule 15c3-3 reserve calculations and regulatory submissions. It works with Finance, Operations, Compliance, auditors, and other stakeholders on control testing, regulatory initiatives, reporting issues, and enhancements to close procedures and control frameworks.
Skills & qualifications
Skills
Qualifications
Benefits
Full job description
Description
We are looking for an experienced finance and regulatory reporting specialist to join our team in New York, New York. This role will focus on strengthening finance controls, overseeing broker-dealer regulatory reporting activities, and supporting accurate, compliant financial operations. The position offers the opportunity to work closely with Finance, Operations, Compliance, and external auditors while contributing to process enhancements and high-impact regulatory initiatives.
Responsibilities:
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Strengthen and maintain financial control activities across core accounting and reporting processes to support a reliable control environment.
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Prepare and review Rule 15c3-3 reserve calculations and related regulatory submissions with a strong focus on accuracy and timeliness.
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Coordinate with internal and external auditors during control testing, financial statement audits, and regulatory examinations.
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Partner with Finance leadership on regulatory projects, reporting initiatives, and other priority assignments.
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Collaborate cross-functionally with Operations, Compliance, and accounting teams to address reporting issues and support regulatory readiness.
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Monitor reporting processes and escalate control gaps, exceptions, or compliance concerns as needed.
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Contribute to the ongoing enhancement of close procedures and control frameworks within a broker-dealer environment.
Requirements
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At least 5 years of experience in regulatory reporting, financial controls, audit, or a related finance function.
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Practical experience with broker-dealer regulatory accounting and control requirements.
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Hands-on ability to prepare or review Rule 15c3-3 reserve formula calculations.
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Working knowledge of SOX or comparable internal control frameworks in a regulated environment.
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Proven ability to work effectively with auditors, compliance partners, and cross-functional stakeholders.
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Series 27 license is preferred, or the ability to obtain it within a reasonable timeframe.
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Public accounting, external audit, or certification such as CPA is a plus.
Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.
Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.
All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.
© 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) and Privacy Notice (https://www.roberthalf.com/us/en/privacy) .
How this job compares
Set against the 4,906 open Accounting jobs on Olive Jobs, counted November 7, 2026.
- Pay
- This postingNot listed
- New York median$94–130K/yr268 salary ranges
- New York median$22–28/hr59 hourly ranges
- Openings
- Olive Jobs lists 464 open Accounting jobs in New York and 4,906 across the US. 5% of them nationwide are listed as remote or flexible.
- Hiring the most in New York
- Robert Half37 open
- Cohnreznick LLP10 open
- RSM US LLP9 open
- Experience
- This posting asks for at least 5 years of experience; Accounting postings that state a minimum ask for 5 years at the median (3,612 postings).
- Education
- 2,446 of the 4,906 open Accounting jobs (50%) ask for a bachelor's degree or higher.
Counted across the open, public US postings on Olive Jobs on November 7, 2026. Pay medians are the middle values of the low ends and of the high ends of postings that list both ends of a range in the same cadence (a yearly salary or an hourly rate); a range's midpoint is halfway between its ends. Pay and experience figures resting on fewer than 20 postings are left out.
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