Location: United States – Remote (US) or Hybrid (NYC / SF Bay Area / Austin / Miami). Open to candidates based in: NY, NJ, CT, CA, TX, FL, MA, IL (and other states depending on client).
Reports to: CCO / CFO / General Counsel (depending on reporting obligations).
Role Overview
The Regulatory Reporting Director owns the governance, accuracy, and timeliness of regulatory filings and reporting obligations. The scope may include SEC/FINRA reporting (where applicable), prudential reporting for partner bank arrangements, or state-level reporting duties depending on the business model.
Key Responsibilities
- Own regulatory reporting calendar and controls; ensure all filings are accurate, timely, and supported by strong documentation.
- Develop and maintain reporting policies, procedures, and reconciliations; implement controls to reduce reporting errors and operational risk.
- Partner with Finance, Legal, Compliance, and Data teams to source, validate, and explain reported figures and disclosures.
- Prepare leadership briefings on reporting obligations, changes, and risks; manage regulator inquiries related to filings.
- Lead improvements to reporting workflows and tooling; ensure audit-ready evidence and change control.
Required Experience
- 7–12 years regulatory reporting experience within financial services, broker-dealer, asset management, banking, or FinTech.
- Strong understanding of reporting controls, data governance, and regulatory deadlines.
- Proven ability to run complex reporting programs with multiple stakeholders.
Preferred Background
- SEC/FINRA reporting exposure (where applicable), or experience with partner-bank reporting obligations.
- Background in controllership, financial controls, or compliance governance.
Compensation Guidance
Typical US compensation: $170,000 – $240,000 base, plus bonus/equity depending on stage.
About MastarRec
MastarRec is a boutique executive search partner supporting regulated organisations across the UK and United States. Apply (Confidentially): Submit CV via MastarRec. All applications handled confidentially. https://mastarrec.com/submit-your-cv/
