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U.S. Bank

Regulatory Reporting Analyst – Manager

U.S. Bank

Regulatory Reporting Manager responsible for SEC and FINRA regulatory filings at U.S. Bank.

Posted 7/25/2026full-timeSaint Louis • Minnesota, Montana, North Carolina • 🇺🇸 United StatesMid-LevelSenior💰 $111,605 - $131,300 per yearWebsite

Core Competencies

Role fit
Core Competencies

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Demonstrates expertise in regulatory reporting for broker-dealers, including FOCUS filings and SEC/FINRA compliance. Proven ability to lead teams, enhance reporting processes, and manage regulatory inquiries effectively.

Highest-signal resume keywords
Regulatory ReportingSEC Rule 15c3-1SEC Rule 15c3-3FINRA Series 27CPA Certification

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills
FOCUS FilingsNet Capital ComputationsReserve Formula CalculationsRoot-Cause AnalysisRegulatory Defensibility
Soft Skills
Team LeadershipCoachingCommunicationQuality AssuranceDocumentation Standards
Certifications & Qualifications
FINRA Series 27CPA Certification
Industry Keywords
Broker-Dealer RegulationsSEC ComplianceFINRA InteractionCapital IntroductionClearing Models

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.
  • 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 (preferred) or related field, or equivalent work experience
  • Six or more years of accounting experience
  • 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
  • Exposure to capital introduction, clearing, prime brokerage, or correspondent models

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