Director Regulatory Reporting FinOps

Director – Fin Ops

Location: New York, NY
Compensation: $200,000 – $250,000 Base + Bonus

A rapidly growing broker-dealer and institutional trading platform is seeking a senior Financial Operations leader to oversee core regulatory reporting, capital management, and operational control functions across the firm’s expanding business lines.

This individual will play a key role in maintaining the financial integrity of a self-clearing platform operating across equities and listed derivatives markets, ensuring compliance with regulatory capital and customer protection requirements while partnering closely with Risk, Treasury, Operations, and Finance leadership.

The mandate is simple: scale infrastructure without creating tomorrow’s regulatory headline.

• Oversee preparation and review of Net Capital (Rule 15c3-1) and Customer Reserve (Rule 15c3-3) computations

• Lead FINOP-related reporting responsibilities, including:

  • FOCUS Reports (Part II / IIA)
  • Supplemental filings to FINRA / SEC / DTCC
  • Stock Record and Reserve Formula Allocation submissions

• Manage daily regulatory capital calculations, liquidity monitoring, and early warning thresholds

• Partner with Risk on:

  • DTCC VaR requirements
  • OCC margin requirements
  • Clearing fund contributions and capital usage optimization

• Monitor firm capital adequacy in relation to trading activity, balance sheet expansion, and settlement exposure

• Support internal and external audits, regulatory examinations, and financial statement preparation

• Collaborate with the Technology and Transformation teams to automate regulatory reporting workflows and reduce manual dependencies

• Assist with the implementation of new products, clearing relationships, or market expansion initiatives from a capital impact standpoint

Serve as an escalation point for financial operations risk across settlement cycles and customer segregation requirements

• Lead and mentor junior Fin Ops / Regulatory Reporting team members

• 8–15+ years of Financial Operations experience within a broker-dealer or clearing environment

• Strong working knowledge of:

  • SEC Rule 15c3-1
  • SEC Rule 15c3-3
  • Customer Protection and Segregation requirements
  • Regulatory capital frameworks within a self-clearing environment

• Experience interacting with FINRA, SEC, DTCC, and/or OCC

• Exposure to equities and/or listed options clearing strongly preferred

• FINOP (Series 27) license strongly preferred

• Demonstrated experience partnering with Risk and Treasury on margin and liquidity planning

• Prior leadership or team management experience preferred

The firm has grown significantly over the past decade, scaling from a small team to ~75 employees while expanding trading volumes, clearing activity, and institutional client coverage.

As infrastructure catches up with ambition, this hire will help ensure the firm’s capital and customer protection framework evolves in line with its trading footprint.