Regulatory Reporting Manager

Regulatory Reporting Manager (Broker Dealer) oversees end-to-end preparation, review, and submission of regulatory filings for registered broker-dealer entities, ensuring compliance with SEC and FINRA requirements (including net capital and customer protection rules). Leads a team of regulatory reporting analysts, maintains strong controls, and partners with the Business Line to ensure filings are accurate, timely, and defensible. Responsibilities span FOCUS reports, Rule 15c3-1 net capital, Rule 15c3-3 customer protection, and complex areas such as asset haircuts, concentration charges, customer reserves, and intercompany balances. Drives automation, standardization, and remediation of issues, coordinates responses to FINRA/SEC exams, and communicates regulatory outcomes to senior leadership. The role is hybrid with in-office expectations of 3+ days per week, located in Saint Louis, MO and Charlotte, NC (US). Benefits and a comprehensive compensation package are provided; posting notes that the primary location impacts the salary range.