Nextera Search · 2 days ago
AVP, Regulatory Reporting
NYC Metro Area
Full-time
Hybrid
Senior Level
$130K/yr - $170K/yr
5+ years expNextera Search is a Financial Services Firm based in New York City seeking an experienced professional for the role of Assistant Vice President of Regulatory Reporting. The role involves preparing and filing regulatory reports, overseeing compliance calculations, and partnering with regulatory bodies to ensure adherence to regulations.
Staffing & Recruiting
Responsibilities
Prepare, review, and file daily, weekly, and monthly regulatory reports, including FOCUS Reports (Form X-17A-5 Part II/IIA), SSOI, Form Custody, SLS, and 17h
Perform and oversee SEC Rule 15c3-1 Net Capital calculations and SEC Rule 15c3-3 Customer Reserve and Possession or Control requirements
Identify, assess, and mitigate regulatory reporting risks by designing, implementing, and maintaining strong internal controls and documentation
Partner with regulators, internal audit, and legal teams to address inquiries and support regulatory exams and reviews
Analyze regulatory and financial data to identify trends, deliver business insights, and drive process improvements or automation (e.g., Alteryx, Tableau)
Lead or contribute to strategic initiatives, support policy development, and mentor team members to ensure ongoing compliance with evolving regulatory requirements
Qualification
Required
Bachelor's degree in Accounting, Finance, Economics, or a related field
5+ years of experience in the broker-dealer industry with a focus on SEC and FINRA regulatory reporting
Strong technical knowledge of the SEC Uniform Net Capital Rule (15c3-1), Customer Protection Rule (15c3-3), and FOCUS reporting requirements
Advanced Excel skills, including pivot tables and complex formulas, with experience using broker-dealer back-office systems (e.g., Broadridge, FIS) and regulatory reporting tools (e.g., Axiom, Alteryx)
Preferred
CPA, CFA, or Series 27 (FINOP) license strongly preferred
Company
Nextera Search
Nextera Search is a premier recruitment firm specializing in direct hire placements within the Accounting, Finance & Financial Services sectors.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase