Director Regulatory Reporting FinOps
The Emerald Recruiting Group, New York, NY, United States
Director – FinOps
Location:
New York, NY Compensation:
$200,000 – $250,000 Base + Bonus
Overview 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.
Key Responsibilities
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 FinOps / Regulatory Reporting team members
Qualifications
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
Why This Role 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.
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New York, NY Compensation:
$200,000 – $250,000 Base + Bonus
Overview 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.
Key Responsibilities
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 FinOps / Regulatory Reporting team members
Qualifications
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
Why This Role 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.
#J-18808-Ljbffr