Regulatory Reporting Manager Jobs
Regulatory Reporting Manager jobs are open across banking, asset management, insurance, and fintech, with specializations in financial reporting, risk and compliance reporting, and regulatory submissions, from analyst-level to senior manager and director. 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 Manager Jobs by Experience Level
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Find JobsRegulatory Reporting Manager Job Market
Who's Hiring
- Meta10
- Citco5
- Truist4
- JPMorganChase4
- icapital3
Top Industries Hiring
- Banking & Financial Services
- Investment & Asset Management
- Technology & Software
- Transportation & Logistics
- Healthcare & Medical Services
What Employers Look For
The qualifications that appear most often in regulatory reporting manager jobs.
- Bachelor's degree in accounting, finance, or a related field
- Experience preparing and submitting regulatory reports to federal or state agencies
- Proficiency in SQL or other data querying tools for report production
- Knowledge of applicable regulatory frameworks such as Basel III, Dodd-Frank, or SEC rules
- CPA, CFA, or FRM certification preferred for senior-level positions
- Strong internal controls and data governance experience across reporting processes
Tips for Your Regulatory Reporting Manager Job Search
Tailor your resume to each regulator
Regulatory reporting managers often own filings for specific agencies, like the Fed, FDIC, SEC, or CFTC. Call out the exact reports you've prepared by name, such as FR Y-9C, FOCUS, or Pillar 3, so hiring managers see direct relevance immediately.
Demonstrate your systems experience clearly
Many job postings screen for specific reporting platforms before a recruiter even reads your resume. List every system you've used, including AXIOM, Lombard Risk, or any in-house data warehouse tools, in a dedicated skills section so it surfaces in keyword filters.
Apply early to roles that fit
Migrate Mate lists regulatory reporting manager openings from across the United States in one place, so you can find roles that match and apply directly to each listing.
Target postings by regulatory regime
A role at a foreign banking organization filing under Basel III has different priorities than a domestic broker-dealer role. When searching, filter by institution type and read the job description for the specific regime so you can speak precisely to that framework in your application.
Prepare a sample reporting scenario for interviews
Interviewers for this role almost always ask how you've handled a last-minute regulatory change or a data quality issue before a filing deadline. Walk in with a real example that covers the problem, what you did, and the outcome, practiced down to the specifics.
Negotiate around reporting cycle timing
Regulatory reporting teams are locked down at quarter-end and year-end. When you get to the offer stage, ask about the reporting calendar before negotiating start dates or PTO terms so your first weeks don't coincide with a filing crunch.
Regulatory Reporting Manager Jobs: Frequently Asked Questions
Which companies are hiring the most regulatory reporting managers?
The most active employers for regulatory reporting managers right now are Meta, Citco, and Truist, and the most openings are in New York, North Carolina, and Texas, based on current listings on Migrate Mate as of November 2026. Demand is concentrated in large financial institutions, regional banks, and asset managers with significant compliance obligations.
How many regulatory reporting manager jobs are remote?
About 79% of regulatory reporting manager openings are fully remote or hybrid as of November 2026, with on-site roles more common at institutions that require direct oversight of data systems or have strict data security policies. Sub-functions like report review, policy interpretation, and cross-team coordination tend to be the most remote-friendly parts of the role.
How do you become a regulatory reporting manager?
Start by building a foundation in financial accounting or compliance reporting, typically through staff or analyst roles within a bank, insurer, or asset manager. Gain hands-on experience with the specific reports your target employers file, then move into a lead or supervisor role overseeing a reporting process. Earning a CPA, CFA, or FRM strengthens your candidacy, especially for roles at larger institutions with complex multi-regulator obligations.
Can I get a regulatory reporting manager job without direct management experience?
Many employers will consider candidates who have led a reporting process end-to-end without holding a formal manager title. If you've owned a report's full lifecycle, coordinated with business lines to gather data, and been the primary contact for a regulator or internal audit team, frame that work as functional leadership on your resume. Certifications and deep familiarity with a specific regulatory regime can offset a thinner management history at smaller institutions.
What does the regulatory reporting manager interview process look like?
Expect an initial screen focused on your specific reporting experience and familiarity with the relevant regulatory regime, followed by a technical round where you walk through a past report or data issue in detail. A panel interview with compliance, finance, and IT stakeholders is common at larger firms. Some employers add a short written exercise or case study involving a reporting discrepancy or a mock regulatory inquiry.
Where can I find and apply to regulatory reporting manager jobs?
You can find and apply to regulatory reporting manager jobs on Migrate Mate, which lists current openings from across the United States. Search the listings to find roles that match your experience and the regulatory regime you work in, then apply directly to each one that fits.
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