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About the Role
This high-impact leadership position shapes the financial direction of the organization across multiple legal entities, leveraging CPA and Series 27 credentials and deep broker-dealer expertise. It offers an opportunity to utilize analytical, compliance, and leadership skills in a role that values innovation and continuous improvement, ideal for those who thrive on attention to detail, excel at handling key partner relationships, and champion change in a dynamic environment.
Responsibilities
- Safeguard integrity and compliance across multiple entities, ensuring reliable controls and reporting to support capital strength and operational excellence.
- Lead financial control and regulatory reporting, acting as a key advisor to partners and ensuring compliance and accurate data.
- Maintain the integrity of broker-dealer records, ensuring capital adequacy and regulatory standards, proactively handling risks.
- Deliver timely, accurate regulatory and management reporting for US Global Markets, supporting transparency and confidence.
- Supervise month-end close, ensuring accurate financials and robust local controls.
- Build partnerships with auditors, regulators, and compliance teams, taking ownership of remediation and FINOP duties.
- Develop and inspire a high-performing Finance team, driving innovation, automation, and collaboration to add new value.
- Shape strategies, strengthen compliance, and support business growth.
Requirements
- Financial acumen and hands-on experience with financial control and regulatory reporting.
- Strong understanding of broker-dealer regulations, including FINRA Series 27 and Net Capital Rule 15c3-1.
- Proven experience in financial controls and reporting within regulated environments.
- Knowledge of banking products and markets.
- Track record in reporting for FINRA/SEC organizations.
- Regulatory expertise and governance awareness.
- Ability to work independently or within collaborative teams; sound judgement.
- Attention to detail and high-quality delivery under deadlines.
- Skill in identifying and raising compliance issues.
- Strong analytical and clear communication abilities.
- Confidence engaging senior leadership and partners.
- Organizational and interpersonal skills for cross-functional partnership.
- Sophisticated Microsoft Office skills (Excel, PowerPoint).
Skills
- CPA
- Series 27
- Broker-dealer expertise
- Analytical skills
- Compliance
- Leadership skills
- Attention to detail
- Partner relationship management
- Change management
- Financial control
- Regulatory reporting
- FINRA Series 27
- Net Capital Rule 15c3-1
- Microsoft Office (Excel, PowerPoint)
Location
- New York, NY
Work Type
- Full-time
Experience Level
- Director
Education Level
- CPA
Salary/Compensations
- $180,000 - $210,000
Benefits
- Comprehensive health coverage with multiple medical plan options, including an HSA-eligible plan with company contributions, plus dental, vision, and 24/7 virtual care
- Strong financial benefits including a 401(k) with company match and discretionary contribution, company-paid life insurance, and short- and long-term disability coverage
- Family and life support such as paid family leave, backup child and elder care, employee assistance programs, and identity theft protection
- Wellness and lifestyle benefits including fitness programs, gym reimbursement options, pet insurance, and group legal services
- Ongoing training, development, mentoring, and networking opportunities
- Opportunities to give back through volunteering and fundraising initiatives
About the Company
- Lloyds North America forms an integral part of Lloyds Banking Group, a leading UK‑based financial services group focused primarily on retail and commercial customer.
- We have operated in North America for over 100 years, delivering a client‑focused approach to large Corporate and Institutional clients with strong links to the UK.
- From our New York office, we provide a comprehensive range of core banking products, including lending, trade finance, and working capital solutions, alongside debt capital and financial markets services through our U.S. broker‑dealer, Lloyds Securities Inc.
Equal Opportunity
- At Lloyds, diversity and inclusion are core to who we are. We are committed to attracting, retaining, and developing the best talent and creating a culture where every colleague feels included, valued, and empowered to be their best.
- Lloyds values diversity across all backgrounds and experiences and encourages our colleagues to bring their whole self to work. We provide equal employment opportunities to all applicants and employees in accordance with applicable law.
- Lloyds North America is committed to providing reasonable accommodations for qualified individuals with disabilities in our job application process. If you have a disability and require a reasonable accommodation in order to participate in the application process, our scheduling team can assist if you are selected to interview.