At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.

We are seeking to add a senior member to Capital Markets Broker Dealer Finance team, specifically SVP in Broker- Dealer Regulatory Reporting with series 27 license.  The candidate will be part of an 8 person Capital Markets Broker-Dealer Finance team with a leadership role in monitoring regulatory capital calculations and meeting all broker-dealer regulatory filing requirements (3 directs).  Broker-dealer has approx $10 billion balance sheet, with predominately US fixed income trading and underwriting activities. This role is located in New York, NY, with required minimum 4 days a week in the office.

In this role, you’ll make an impact in the following ways: 

• Responsible for oversight of preparation of daily net capital requirements reports and weekly customer reserve reporting for a full-service securities trading broker dealer (15c3-1 and 15c3-3 reports) 
• Responsible for the oversight and preparation of the monthly and quarterly FOCUS Report 15c3-1, and other regulatory filing requirements
• Review and Preparation of the FOCUS supplemental regulatory reports.
• Review and Preparation of operational charges and securities haircuts. 
• Review and Preparation of the daily 4210 capital charge
• Review and Preparation of the SIPC Report
• Work in tandem with Capital Markets Finance Director in the performance and management of the financial close process and issuance of audited financial statements. Activities may include:
• Liaising with external auditors in support of regulatory filings and issuance of audited financial statements 
• Addressing external regulatory data requests 
• Review and approval of journal entries and/or reconciliations completed by less experienced professionals 
• Ensuring general ledger accounts are properly reconciled to source systems, including maintenance of strong accounting and regulatory reporting control environments
• Key member of Capital Markets broker-dealer finance leadership team responsible for assisting in implementation of new products, and implementation of enhancements to new/existing technologies

 

To be successful in this role, we’re seeking the following: 

• 10-15 yrs experience in broker-dealer dealer regulatory reporting.  
• CPA, or finance professional with strong knowledge of US GAAP accounting rules and finance concepts 
• Successful candidate should have series 27 license and be able to grow into role of lead FINOP of Broker-dealer
• Strong presentation skills and ability to lead monthly management review of focus filing
• Strong knowledge of excel and willingness to embrace new technologies

At BNY, our culture speaks for itself, check out the latest BNY news at:

BNY Newsroom

BNY LinkedIn 

Here’s a few of our recent awards: 

• America’s Most Innovative Companies, Fortune, 2025
• World’s Most Admired Companies, Fortune 2025

• “Most Just Companies”, Just Capital and CNBC, 2025

   

  Our Benefits and Rewards: 

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter. 

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

BNY assesses market data to ensure a competitive compensation package for our employees. The base salary for this position is expected to be between $102,000 and $196,250 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of the BNY total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and company- sponsored benefit programs.

This position is at-will and the Company reserves the right to modify base (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance and market factors.