VP, Regulatory Finance

About the role

The VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements.

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits. This individual plays a critical role in safeguarding the firm's regulatory standing, financial integrity, and operational resilience.

Office Location: Jersey City, NJ/Dallas, TX
This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position.

What You'll Do

• Maintain responsibility for broker-dealer and FCM financial regulatory compliance.
• Prepare, review, and file all required regulatory filings, including:
  • FOCUS Reports for both SEC/FINRA and CFTC/NFA
  • Customer Daily Reserve Computations (Rule 15c3-3)
  • Net Capital Computations (Rule 15c3-1) to be in compliance with SEC and CFTC rules
  • SSOI, OBS, SIPC, and related regulatory filings
  • MSB Call Reporting on NMLS and certain state filings
• Monitor daily net capital to ensure ongoing compliance with regulatory thresholds.
• State Money Transmission License application and renewal
• Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA and external auditors.
• Support month-end, quarter-end, and year-end close processes for multiple affiliated entities. Ensure reporting accuracy, completeness, and audit readiness across financial and regulatory reporting functions.
• Aid in the enhancement and maintenance of accounting, regulatory, and ICOC/internal control frameworks.
• Organize and coordinate all financial audits, including annual audits, state audit and regulatory financial examinations.
• Partner cross-functionally with Finance, Compliance, Operations, and Technology teams on process improvements and systems implementations.
• Aid in the development of scalable reporting and operational processes to support business growth and regulatory compliance.
• Prepare standard and ad hoc financial and operational reporting for management and regulators.
• Maintain and updates procedures and controls, including WSP, RCM, desk-top procedures.
• Perform additional duties and special projects as assigned.
• Manage and train teams as needed.

Requirements

• Active Series 3 (National Commodities Futures Examination) & 27 (Financial and Operations Principal) license required.
• Bachelor's degree in accounting, Finance, or related discipline required.
• 5+ years of broker-dealer and FCM FINOP and regulatory reporting experience preferred.
• Strong hands-on experience with:
  • Customer Reserve Computations
  • Net Capital Calculations
  • FOCUS Reporting for FINRA and FCM
  • SEC Rule 15c3-1 and Rule 15c3-3
  • CFTC Regulations including daily segregation, daily secured, daily swap computation, SIDR filings
• Strong understanding of broker-dealer and FCM accounting operations, regulatory controls, and financial reporting requirements.
• Experience supporting FINRA, SEC, SEC, NFA and external audits/examinations.
• Advanced Microsoft Excel skills, including complex reconciliations, formulas, pivots, and financial analysis.
• Ability to manage competing priorities and meet strict regulatory deadlines in a fast-paced environment.
• Excellent analytical, organizational, and communication skills.
• High attention to detail, accountability, and operational discipline.
• Experience in adopting and utilizing AI tools;
• Data sensitive and strong capabilities to identify process improvements opportunities and implementation;
• Professional management skills.

Preferred Qualifications

• Experience within a clearing and non-clearing FCM.
• Profound knowledge in futures business and experience with CME and futures exchanges.
• Experience within an introducing and/or self-clearing broker-dealer environment.
• Experience supporting fintech, digital assets, or high-growth financial services organizations.
• Experience with financial systems implementations, automation initiatives, or regulatory reporting platforms.