Regulatory Reporting Analyst Jobs
Regulatory Reporting Analyst jobs are open from entry-level to senior and manager across banking, insurance, asset management, and fintech, with specializations in Basel/capital reporting, liquidity risk reporting, and SEC/CFTC compliance reporting. Find a role that fits below and apply directly.
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Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.
Our Regulatory Reporting Department at Wedbush Securities is seeking an experienced professional to join our team as a Regulatory Reporting Accountant. Reporting directly to the AVP, Regulatory Reporting, this role will focus on the preparation of the customer/PAB reserve computation (15c3-3), net capital (15c3-1) and FOCUS reporting.
Responsibilities include, but are not limited to:
- Prepare Customer/PAB Reserve Computations (15c3-3).
- Prepare Net Capital (15c3-1) and FOCUS reports.
- Prepare daily and monthly reports and schedules to support regulatory and accounting processes.
- Assist with internal and external audits and regulatory examinations.
- Collaborate with various departments within the firm to reconcile differences and calculate components critical to the financial statements and regulatory reports
- Perform general accounting duties for the broker dealer including reconciliations, journal entries, allocations, etc.
- Fulfill ad hoc requests as needed
- Perform other duties and tasks as required and assigned
Experience and Skills:
- Bachelor's degree in Accounting, Finance or related field.
- Two years' experience within the financial services industry preferred
- FINRA SIE & Series 99 or ability to obtain within 1 year
- Excellent analytical skills with meticulous attention to detail.
- Ability to analyze processes and improve efficiency of procedures.
- Strong communication and interpersonal skills, with the ability to collaborate effectively across departments.
- Highly proficient in MS Excel and Word; adept at learning new software applications.
Job Benefits:
As part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.
- Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
- Health Savings Account with company-sponsored contributions
- Flexible Spending Accounts (FSA) traditional and dependent care
- Pre-Tax Commuter Benefits
- 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
- Tuition reimbursement up to $5,250/year
- 3 weeks of Paid Time Off
- 2 weeks of Paid Sick Time (may vary by location)
- 10 Paid Holidays
- Charitable Donation Matching Contributions
- Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
- FINRA License Sponsorship
- Travel & Employee Assistance and Employee Discount Programs
The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $60,000 to $80,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.
Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities, here https://www.e-verify.gov/employees/e-verify-overview
This position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.
From: Wedbush Securities
Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.
Our Regulatory Reporting Department at Wedbush Securities is seeking an experienced professional to join our team as a Regulatory Reporting Accountant. Reporting directly to the AVP, Regulatory Reporting, this role will focus on the preparation of the customer/PAB reserve computation (15c3-3), net capital (15c3-1) and FOCUS reporting.
Responsibilities include, but are not limited to:
- Prepare Customer/PAB Reserve Computations (15c3-3).
- Prepare Net Capital (15c3-1) and FOCUS reports.
- Prepare daily and monthly reports and schedules to support regulatory and accounting processes.
- Assist with internal and external audits and regulatory examinations.
- Collaborate with various departments within the firm to reconcile differences and calculate components critical to the financial statements and regulatory reports
- Perform general accounting duties for the broker dealer including reconciliations, journal entries, allocations, etc.
- Fulfill ad hoc requests as needed
- Perform other duties and tasks as required and assigned
Experience and Skills:
- Bachelor's degree in Accounting, Finance or related field.
- Two years' experience within the financial services industry preferred
- FINRA SIE & Series 99 or ability to obtain within 1 year
- Excellent analytical skills with meticulous attention to detail.
- Ability to analyze processes and improve efficiency of procedures.
- Strong communication and interpersonal skills, with the ability to collaborate effectively across departments.
- Highly proficient in MS Excel and Word; adept at learning new software applications.
Job Benefits:
As part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.
- Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
- Health Savings Account with company-sponsored contributions
- Flexible Spending Accounts (FSA) traditional and dependent care
- Pre-Tax Commuter Benefits
- 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
- Tuition reimbursement up to $5,250/year
- 3 weeks of Paid Time Off
- 2 weeks of Paid Sick Time (may vary by location)
- 10 Paid Holidays
- Charitable Donation Matching Contributions
- Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
- FINRA License Sponsorship
- Travel & Employee Assistance and Employee Discount Programs
The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $60,000 to $80,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.
Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities, here https://www.e-verify.gov/employees/e-verify-overview
This position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.
From: Wedbush Securities
Regulatory Reporting Analyst Jobs by Experience Level
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Find JobsRegulatory Reporting Analyst Job Market
Who's Hiring
- Meta10
- Truist4
- JPMorganChase4
- Citco3
- icapital3
Top Industries Hiring
- Banking & Financial Services
- Technology & Software
- Transportation & Logistics
- Healthcare & Medical Services
- Investment & Asset Management
What Employers Look For
The qualifications that appear most often in regulatory reporting analyst jobs.
- Bachelor's degree in accounting, finance, economics, or a related quantitative field
- Experience preparing or reviewing regulatory filings such as Call Reports, FR Y-9C, or CCAR
- Proficiency in SQL for extracting and validating data from large financial databases
- Working knowledge of Basel III capital and liquidity standards or equivalent frameworks
- Advanced Excel skills including pivot tables, VLOOKUP, and macro-driven reconciliation workflows
- Familiarity with reporting tools such as Axiom, Lombard Risk, or similar regulatory platforms
Tips for Your Regulatory Reporting Analyst Job Search
Tailor your resume to each regulatory framework
Hiring managers scan for specific frameworks like Basel III, CCAR, or DFAST before reading anything else. Name the exact reports you've owned, the regulators you've filed with, and the data systems you used to produce those submissions.
Highlight your data reconciliation experience explicitly
Regulatory reporting roles live or die on data accuracy, so your resume needs concrete examples of how you resolved breaks between source systems and reported figures. Vague claims about attention to detail won't move you past an ATS screen.
Apply early to roles that fit
Migrate Mate lists regulatory reporting analyst openings from across the United States in one place, so you can find roles that match and apply directly to each listing.
Target job postings by their filing deadline language
Descriptions that mention FR Y-9C, Call Reports, or FFIEC filings signal a bank-side role with heavy Fed oversight. Descriptions citing Form PF, 13F, or N-PORT lean asset-management. Matching your background to that language before you apply sharpens your fit signal immediately.
Prepare a walk-through of one complete reporting cycle
Interviewers for regulatory roles almost always ask you to describe end-to-end ownership of a submission. Practice narrating your role from data sourcing through internal sign-off to regulator delivery, including how you handled a material error or a last-minute data change.
Negotiate start date around quarter-end reporting blackouts
Regulatory reporting teams are locked down during quarter-end close and filing windows. Proposing a start date that lands mid-quarter signals you understand the operational calendar and makes onboarding logistics easier for a team that can't go off-cycle to train someone.
Regulatory Reporting Analyst Jobs: Frequently Asked Questions
Which companies are hiring the most regulatory reporting analysts?
The companies hiring the most regulatory reporting analysts right now include Meta, Truist, and JPMorganChase, with the largest share of openings in New York, North Carolina, and Texas, based on current listings on Migrate Mate as of November 2026. Large banks, insurance carriers, and asset managers consistently drive the highest volume of openings in this role.
How many regulatory reporting analyst jobs are remote?
About 85% of regulatory reporting analyst openings are fully remote or hybrid as of November 2026, with availability varying by employer type and seniority. Roles focused on data aggregation, report preparation, and system reconciliation tend to be the most flexible, while positions requiring direct collaboration with treasury or risk teams during quarter-end close are more likely to require on-site presence.
How do you become a regulatory reporting analyst?
Start with a bachelor's degree in finance, accounting, or economics, then gain exposure to financial data operations through roles in accounting, audit, or financial analysis. Build proficiency in SQL and Excel, learn the reporting frameworks relevant to your target sector, such as banking or asset management, and pursue a CPA or CFA designation to strengthen your candidacy for mid-level and senior positions.
Can you get a regulatory reporting analyst job with little experience?
Entry-level regulatory reporting analyst roles exist, particularly at large banks and financial services firms that run structured analyst programs. Candidates with internship experience in accounting or finance, strong SQL skills, and familiarity with financial statements are competitive. Certifications in accounting software or completion of relevant coursework in regulatory compliance can help offset limited direct reporting experience when applying to junior openings.
What does the regulatory reporting analyst interview process look like?
The process typically involves an initial screening call focused on your background with specific regulatory frameworks, followed by a technical round where you may be asked to walk through a past reporting cycle, explain how you resolved a data discrepancy, or complete a short Excel or SQL exercise. Final rounds often include a panel with risk, finance, or compliance stakeholders who assess your understanding of the regulatory environment and your communication skills for internal and external audiences.
Where can I find and apply to regulatory reporting analyst jobs?
You can find and apply to regulatory reporting analyst jobs on Migrate Mate, which lists current openings from across the United States. Find roles that match your background and apply directly to each listing without being redirected through additional sign-up steps.
See All 65 Regulatory Reporting Analyst Jobs
Find roles that match your experience and apply in just a few clicks.
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