Executive Director – Broker Dealer Controller

Full Time

Investment Banking Client

Office Status: Hybrid


A global US investment bank is building a small advisory division to support its broker dealer, swap dealer and OTC derivative dealer. The team will oversee all production and reporting efforts and be the internal point person between the production team and the 1st LOD, other senior stakeholders and regulators. This position is more of a project management/oversight opportunity. The team is looking for someone with a strong background in either FOCUS, 15c3-3 or 15c3-1 broker dealer reporting who is interested in moving into more of an advisory position.


  • Develop and maintain strong relationships with Regulators including SEC, FINRA, CFTC and NFA, as well as industry peers and internal stakeholders in Finance, Firm Risk Management, Operations, and the Business Divisions
  • Participation in, and present to multiple legal entity and firm-wide governance forums
  • Track and advise on interpretation of new or proposed rules, and post implementation focus items
  • Keep abreast of industry trends and emerging risks and anticipate regulatory focus areas, keeping internal stakeholders informed
  • Provide advisory support to Finance, Risk, and Operations teams in connection with capital and financial reporting requirements
  • Advise on applicable processes, controls, governance, policies and procedures, including the design sufficiency of control processes and policies and procedures for regulatory requirements
  • Reviewing and drafting support for new and existing policies and procedures
  • Coordinate, draft and present training materials to various internal constituencies, including Legal and Compliance, Finance, Risk, Operations and the Business Divisions
  • Provide support, including drafting as applicable, in connection with Compliance testing, Internal and External Audit, Regulatory Exams and Regulatory Continuous Monitoring Engagements
  • Liaison across Legal and Compliance coverage
  • Global coordination of applicable in-scope covered areas
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