Director - Broker Dealer Regulatory Reporting

Job Description

Clear Street is seeking a Director of Regulatory Reporting to oversee end-to-end regulatory reporting for all domestic entities. The Director will ensure accuracy, timeliness, and compliance with regulatory requirements.

This is a strategic and high-impact role that involves collaboration across multiple teams.

Responsibilities:

• Prepare daily 15c3-1 net capital computation for two US broker-dealers (BD) and a securities-based swap dealer (SBSD).
• Weekly and monthly preparation of the 15c3-3 Customer and PAB Reserve calculation - to become daily in January 2026.
• Assist with the preparation of the monthly FOCUS report including the preparation of supporting schedules for non-allowable assets, capital deductions, and haircuts
• Review applicable regulatory rules and related interpretations to assess how the firm should apply in order to maintain compliance.
• Assist with the preparation of other regulatory reports such as SIPC, SSOI, Form Custody, SLS, OBS, 17H, and 13F
• Work closely with clearing and settlement teams to understand trade processing workflows and reconcile the sub-ledger data to the general ledger (NetSuite)
• Lead projects to enhance controls and automate manual processes around critical areas involving regulatory compliance
• Assist with the 17a-5 annual audit including preparing support for footnote disclosures and balance sheet reconciliations to external auditors (Big 4).
• Participate in the research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions

Requirements:

• At least seven (7) years of professional experience in a similar role
• Regulatory accounting experience for a self-clearing BD, FCM, and/or SBSD is required
• The candidate must have a Series 27 and a comprehensive understanding of Net Capital (15c3-1) and Customer Reserve (15c3-3) rules
• Highly proficient in Microsoft Excel with the ability to manage, summarize, and analyze large data sets in an efficient manner
• Ability to work independently and collaboratively in a fast-paced environment
• Highly organized and detailed oriented with an elevated focus on accuracy, completeness, and first-class controls
• Experience with NetSuite, FloQast, and Sigma is preferred but not required

Clear Street offers:

• Competitive compensation packages
• Company equity
• 401k matching
• Gender neutral parental leave
• Full medical, dental and vision insurance