Regulatory Reporting Manager

U.S. Bank

Regulatory Reporting Manager overseeing compliance with SEC and FINRA for registered broker dealer entities. Leading a team to manage regulatory filings and ensure accurate reporting standards.

Posted 5/13/2026full-timeSaint Louis • Montana, North Carolina • 🇺🇸 United StatesSeniorLead💰 $98,175 - $115,500 per yearWebsite

About the role

Key responsibilities & impact

Own end‑to‑end preparation, review, and submission of FOCUS Reports (Part IIA / IIB) and related schedules.
Oversee reporting related to SEC Rule 15c3‑1 (Net Capital) and SEC Rule 15c3‑3 (Customer Protection / Reserve Formula).
Review complex areas including: Netting and allowable vs. non‑allowable assets, Haircuts and concentration charges, Customer reserve computations and deposits, PAB vs. customer segregation distinctions, Affiliate and intercompany balances.
Assess the impact of new products, business changes, or legal‑entity activity on regulatory reporting.
Lead, coach, and develop a team of broker‑dealer regulatory reporting analysts.
Establish clear expectations for quality, documentation standards, and filing discipline.
Perform detailed review and approval of analyst work with a focus on regulatory defensibility.
Ensure appropriate coverage, cross‑training, and continuity for key filings and critical rules.
Maintain and enhance controls supporting broker‑dealer regulatory reporting in alignment with SOX/FRR and supervisory procedures.
Own regulatory reporting narratives, desk procedures, and control documentation.
Coordinate responses to FINRA, SEC, and internal audit exams, including data requests, findings, and remediation.
Perform root‑cause analysis on reporting issues and lead sustainable remediation.
Partner across different areas of the business line.
Act as a key Finance point of contact for regulatory inquiries and escalations.
Clearly explain regulatory outcomes, risks, and issues to senior Finance and business leadership.
Drive automation, standardization, and reduction of manual regulatory reporting processes.

Requirements

What you’ll need

Bachelor's degree in accounting or finance, or equivalent work experience
Eight or more years of experience in financial accounting activities
Strong working knowledge of SEC and FINRA broker‑dealer regulations
Prior team leadership, review, or informal people‑management experience
Experience supporting or responding to regulatory exams
Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment
CPA or equivalent professional certification
Direct experience with FOCUS filings, net capital computations, and reserve formula calculations
Prior interaction with FINRA or SEC examiners
Experience supporting multiple broker‑dealer legal entities or complex BD structures

Benefits

Comp & perks

Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

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Hard Skills & Tools

FOCUS ReportsSEC Rule 15c3-1SEC Rule 15c3-3Net Capital computationsCustomer Protectionregulatory reportingroot-cause analysisautomationstandardizationregulatory defensibility

Soft Skills

team leadershipcoachingdevelopmentcommunicationcross-trainingproblem-solvingcollaborationdocumentation standardsquality assuranceexpectation setting

Certifications

Bachelor's degree in accounting or financeFINRA Series 27CPA