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Broker Dealer Regulatory Reporting

NY, NY 10001

Posted: 03/03/2026 Employment Type: Direct Placement Job Number: 27704382 Pay Rate: 125000-150000 USD/Year

Job Description


Broker Dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting team in New York. This role is responsible for broker-dealer regulatory reporting compliance, with a focus on net capital, customer reserve, and FOCUS reporting. The position reports to the Head of Regulatory Reporting.

Key Responsibilities:

  • Prepare and review net capital calculations under SEC Rule 15c3-1 (daily/monthly).

  • Prepare and review customer and PAB reserve computations under SEC Rule 15c3-3 (weekly/monthly).

  • Prepare and review SEC Rule 17a-5 FOCUS reports and supplemental regulatory filings (SIS, SLS, OBS, SSOI, Custody, Schedule I).

  • Maintain documentation and internal controls supporting compliance with Financial Responsibility Rules.

  • Liaise with auditors and regulators during examinations.

  • Assess regulatory capital impact of new business initiatives and support ad hoc projects.

Qualifications:

  • 5+ years of broker-dealer regulatory reporting experience (15c3-1, 15c3-3, FOCUS).

  • Strong knowledge of Financial Responsibility Rules, including possession or control requirements.

  • Client Series 27 (or ability to obtain)

Meet Your Recruiter

Nick LaPetina

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Drew Anson

Chief Delivery Officer

Drew Anson is Chief Delivery Officer at Phaxis, a Workforce Solutions Company based in New York.

In this role, Drew leads the delivery and recruiting working closely with the leadership team to define a model that is efficient at supporting the firm s current needs and is scalable for future growth.

Drew is a seasoned executive with more than 13 years of Services & Recruitment experience. In that time, he has supported numerous Fortune 100/500/1000 organizations across industries by providing global workforce solutions, namely resources and thought leadership for large-scale projects, implementations, and managed services.

Prior to joining Phaxis predecessor firm Park Hudson in 2021, Drew spent three years at engineering technology and talent solutions firm, Collabera, as Director of Sales in North Carolina. Earlier in his career, he spent nearly eight years at Insight Global, most recently as Sales Manager of the Columbus, OH office.

He holds a degree from Central Michigan University in Sales & Marketing.

Favorite Book: Extreme Ownership Jocko Willink & Leif Babin
Favorite Team: Michigan Wolverines
Inspirational Quote: There is no substitute for hard work. Thomas A. Edison