The Broker-Dealer Regulatory Reporting Director will lead and oversee the preparation, review, and submission of regulatory reports, ensuring compliance with all applicable broker-dealer financial regulations. This role will have an emphasis on 15c3-1, 15c3-3, and FOCUS reporting. The candidate must have a Series 27 license. Client Details The hiring company is a well-established organization in the financial services industry. They specialize in providing comprehensive financial solutions and have a reputation for maintaining high standards of accuracy and compliance in their operations. Description Prepare and oversee the submission of accurate and timely regulatory reports in accordance with federal and state guidelines. Calculate daily and monthly net capital Prepare and review FOCUS report Ensure compliance with financial regulations and reporting standards relevant to the financial services industry. Collaborate with internal teams to ensure data integrity and resolve discrepancies in reporting processes. Stay updated on changes in regulatory requirements and implement adjustments as necessary. Coordinate with external auditors and regulatory agencies during audits and reviews. Oversee a team of 2 Develop and maintain documentation for reporting processes and procedures. Train and mentor team members on regulatory reporting best practices. Provide strategic recommendations to improve reporting efficiency and compliance. MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans, and all other qualified applicants. Profile A successful Regulatory Reporting Director should have: 7+ years in broker-dealer reporting inclusive of 15c3-1, 15c3-3, and FOCUS filings Series 27 license required Willingness to commute to downtown Manhattan office 5 days/week. This is a vital position within the organization that requires an in-office presence to be successful A strong academic background in accounting, finance, or a related field. Extensive knowledge of regulatory reporting standards in the financial services industry. Proven ability to analyze complex financial data and ensure compliance with regulations. Excellent communication skills to interact with internal teams and external regulators. Proficiency in relevant financial reporting tools and software. Job Offer A competitive salary in the range of $140,000-$215,000, depending on experience. A supportive work environment with a focus on professional growth. Comprehensive benefits package, including health, dental, and retirement plans. Paid time off to promote work-life balance.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.