Senior Regulatory Reporting Analyst

U.S. Bank

Senior Regulatory Reporting Analyst preparing regulatory filings for broker dealer entities. Ensuring compliance with SEC and FINRA reporting, net capital, and customer protection rules.

Posted 5/13/2026full-timeSaint Louis • Montana, North Carolina • 🇺🇸 United StatesSenior💰 $86,360 - $101,600 per yearWebsite

About the role

Key responsibilities & impact

Preparation of all regulatory filings for registered broker dealer legal entities
Ensure compliance with SEC and FINRA reporting requirements, including net capital and customer protection rules
Maintain strong regulatory controls and partner closely with the Business line
Own end-to-end preparation of FOCUS Reports (Part IIA / IIB) and related schedules
Own end-to-end preparation and reporting related to SEC Rule 15c3-1 (Net Capital) and SEC Rule 15c3-3 (Customer Protection / Reserve Formula)
Analyze complex areas including netting, allowable vs. non-allowable assets, haircuts, and concentration charges
Assess the impact of new products, business changes, or legal-entity activity on regulatory reporting
Maintain and enhance controls supporting broker-dealer regulatory reporting in alignment with SOX/FRR and supervisory procedures
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 and act as a starting point of contact for regulatory inquiries and escalations
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
Five to eight years of experience in financial accounting activities
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
Exposure to capital introduction, clearing, prime brokerage, or correspondent models
2–4+ years of experience in broker-dealer regulatory reporting, product control, financial control, or public accounting (financial services)
Strong working knowledge of SEC and FINRA broker-dealer regulations
Experience supporting or responding to regulatory exams
Obtain FINRA Series 27 license within 120 days of employment

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

FOCUS Reportsnet capital computationsreserve formula calculationsregulatory reportingroot-cause analysisfinancial accountingregulatory controlsdata analysisautomationstandardization

Soft Skills

communicationcollaborationproblem-solvingleadershiporganizational skillsattention to detailanalytical thinkingadaptabilityinterpersonal skillsproject management

Certifications

Bachelor's degree in accountingBachelor's degree in financeCPAFINRA Series 27 license