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About the Role

DCMA is seeking a Regulatory Compliance, Reporting, and Surveillance Director to lead key components of the firm’s regulatory compliance framework supporting institutional Equities, Fixed Income, Treasury and Futures businesses. This role involves providing senior regulatory advice, overseeing reporting, surveillance, testing, and supervisory-control programs, coordinating examinations, and driving improvements to policies, procedures, technology, and controls.

Responsibilities

Provide practical regulatory guidance and lead assigned compliance programs.
Assess new products, business initiatives, systems, and regulatory developments.
Establish ownership, escalation, documentation, and reporting standards.
Represent the firm at appropriate industry forums.
Oversee the Compliance framework for assigned obligations, including CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader, and applicable securities transaction reporting.
Oversee assigned market, trade, and electronic communications surveillance.
Evaluate surveillance coverage, data feeds, scenarios, thresholds, and workflows.
Review significant alerts and trends, and establish investigation and documentation standards.
Coordinate surveillance enhancements with supervisors, Technology, Risk Management, and vendors.
Lead or coordinate examinations, sweeps, questionnaires, trade-data requests, and information requests involving FINRA, SEC, CME, CFTC, the Federal Reserve, DTCC, and other applicable authorities.
Establish response plans, assign deliverables, validate submissions, track deadlines, and maintain complete records.
Develop and maintain a risk-based inspection and testing schedule.
Define scope, procedures, sampling, evidence, and reporting standards for compliance testing.
Oversee findings and recommendations, assign corrective actions, and validate closure.
Support the annual CCO report, CEO certifications, and assessments of supervisory controls.
Serve as a senior Compliance stakeholder for regulatory reporting, surveillance, filing, workflow, and governance applications.
Define requirements, coordinate implementation and testing, and challenge system or vendor results.
Oversee assigned Primary Dealer, Federal Reserve, Treasury Market Practices Group, and Treasury auction compliance requirements.
Maintain assigned policies, procedures, supervisory matrices, and key operating procedures.
Assess regulatory changes, perform gap reviews, and coordinate implementation.
Design or oversee role-based training, annual compliance communications, and completion tracking.
Prepare reporting for the Compliance Committee, CCO, senior management, Board, and other governance bodies.
Communicate regulatory developments, inquiries, reporting performance, surveillance results, testing, incidents, remediation, trends, and resource concerns.
Supervise, coach, and develop assigned professionals.
Establish priorities and quality standards for the team.
Review significant work product and maintain cross-training for critical programs.

Requirements

Bachelor’s degree in business, finance, accounting, economics, law, information systems, or related discipline.
At least 10 years of relevant broker-dealer, financial-services, regulatory, legal, audit, risk, or compliance experience.
Strong knowledge of requirements applicable to institutional Equities, Fixed Income, Treasury, and Futures activities.
Demonstrated expertise in regulatory reporting, surveillance, examinations, testing, supervisory controls, or regulatory change.
Experience coordinating complex regulatory, audit, reporting, or remediation matters across multiple departments.
Understanding of reporting data flows, reconciliations, exception management, error correction, evidence retention, and control documentation.
Experience developing policies, procedures, training, management reporting, and sustainable supervisory or compliance controls.
Experience with compliance technology, regulatory reporting systems, surveillance platforms, workflow applications, or third-party providers.
Strong written and verbal communication, analytical ability, organization, attention to detail, and sound judgment.
Prior people-management, project-management, or significant program-leadership experience.

Skills

Regulatory Advisory
Regulatory Reporting
Market Surveillance
Trade Surveillance
Electronic Communications Surveillance
Regulatory Examinations
Regulatory Inquiries
Compliance Testing
Remediation
Policy Development
Procedure Development
Training Development
Data Analysis
AI-supported Controls
Primary Dealer Compliance
Treasury Compliance
Program Management
Project Management
People Management

Location

New York

Work Type

Hybrid
Remote

Experience Level

10+ years

Education Level

Bachelor's degree

Benefits

Competitive Benefits Package (Medical, Dental and Vision)
Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability)
Flexible Spending and Health Savings Accounts (FSA and HSA)
Employee Assistance Program (EAP)
Comprehensive health and wellness benefits
Parental Leave
Family building benefits
401(k) with company match
Paid Time Off and holidays
Professional development, educational assistance and training programs
Community Engagement Programs

About the Company

Daiwa Capital Markets America Inc. is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges.
The firm's main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers.
DCMA’s ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan.

Equal Opportunity

DCMA provides equal employment opportunities for all applicants and employees.
We are committed to providing a work environment that is free of discrimination and harassment.
DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws.