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.

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.