Finance Controls & Regulatory Reporting, Associate Director/Sr. Associate Director
Webull Financial · NY, US
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About the Role
Seeking an experienced finance professional for a leadership role supporting financial controls, regulatory reporting, and operational excellence. The position will focus on strengthening financial controls, preparing Rule 15c3-3 reserve calculations, partnering with auditors, and driving process improvements.
Responsibilities
- Lead and strengthen financial controls across key finance processes.
- Prepare, review, and oversee Rule 15c3-3 reserve calculations and related regulatory processes.
- Partner with auditors on SOX testing, financial statement audits, and regulatory examinations.
- Drive process improvements to enhance control effectiveness and operational efficiency.
- Support Finance leadership on regulatory initiatives and special projects.
Requirements
- 6+ years of experience in audit, financial controls, and/or regulatory reporting
- Experience designing, operating, and enhancing financial controls, preferably in a SOX-compliant public company environment.
- Hands-on experience preparing and reviewing SEC Rule 15c3-3 Reserve Formula calculations.
- Strong understanding of broker-dealer regulatory accounting and control frameworks.
- Ability to collaborate across Finance, Operations, Compliance, and external auditors.
Skills
- FINRA Series 27 license (highly preferred, or willingness to attain within 3-6 months)
- Audit and controls experience combined with broker-dealer experience
- CPA designation
- Public accounting or external audit experience
- Experience with SEC and FINRA regulatory reporting
- Experience improving close processes, documentation, and control effectiveness
Location
- NY Wall Street office (44 Wall Street, NYC)
Work Type
- In-person collaboration
Experience Level
- Associate Director or Senior Associate Director, based on experience and qualifications
Education Level
- CPA designation
Salary/Compensations
- $135,000 - 175,000 annually
Benefits
- 100% paid medical and dental insurance for employees and dependents
- Vision insurance
- 401(k) match
- Commuter benefits for NY positions
- Short-term disability coverage
- Generous time off that increases with tenure
- Paid parental leave
- Personal days
- Sick time
- Volunteer days
- Company holidays
- Fitness and wellness benefits
- Pet insurance
- Tuition reimbursement
- Catered breakfast (every Monday)
- Catered lunches (every Friday)
- Fully stocked kitchens
- Monthly happy hours
- Discretionary bonus
About the Company
- Webull is a global fintech company operating in 16 regions worldwide, serving over 20 million users.
- Headquartered in St. Petersburg, FL.
Equal Opportunity
- Webull is an equal opportunity employer.
- We’re committed to building a diverse and inclusive team where all backgrounds, perspectives, and talents are valued.