Finance Manager, Regulatory Reporting

Corporate Finance Opportunity in Financial Services

Finance Manager, Regulatory Reporting

Preferred Location(s):

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type:        Full-time, Exempt

Salary:             $130,000 - $150,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.

Summary:

Reporting to the Corporate Treasurer, the Regulatory Reporting Finance Manager will play a key role in ensuring compliance across Osaic’s four broker-dealers. This is a high-impact role responsible for overseeing financial and regulatory reporting, including SEC and FINRA filings, and ensuring accuracy in net capital calculations and financial statements. You’ll work in a collaborative, fast-paced environment with exposure to complex broker-dealer operations and senior leadership. Ideal for a detail-oriented finance professional who thrives on precision, accountability, and making a tangible impact in a dynamic financial organization.

Education Requirements:

• Bachelor’s Degree from accredited university in Accounting, Finance, Economics, Business Administration or other related field is required. 

Responsibilities:

• Review and report upon all new and existing SEC, FINRA, SIPC, State, and other regulatory rules as they relate to broker-dealers.

• Perform and/or review all net capital and excess net capital calculations to ensure compliance with SEC and FINRA's Net and Excess Net Capital Rules

• Prepare Monthly FOCUS Filings, and all other monthly regulatory filings, for all four Osaic broker dealers

• Prepare Quarterly 17H filings

• Engage with FINRA & SEC Staff to address any questions, complete any exams, and communicate any changes

• Work with internal partners to ensure continued compliance with all broker dealer regulations

• Assist with Net Capital forecasting and intercompany dividends from all broker dealers

• Liaise with all other departments to ensure understanding of and compliance with net capital rules

• Train and develop Analyst(s) to back up all functions

• All other duties as assigned.

Basic Requirements:

• FINRA Series 27 is required

• Minimum of 8 years’ experience in FP&A, finance, or business analysis role

• Minimum of 8 years’ Financial Services industry experience (wealth management, investment management, broker-dealer, insurance, securities) required

• Minimum of 3 years’ experience managing staff

• Ability to manage the regulatory reporting functions of a multi-entity introducing broker dealer with multiple clearing firm relationships is essential. 

• Experience with acquisitions and integrations is required.

• Highly motivated with demonstrated experience managing multiple projects in a fast paced, deadline-oriented work environment

• Expert proficiency in the use of business applications, particularly Excel and PowerPoint

• Experience with financial reporting and general ledger applications tools is required

• Must have acute attention to detail

• Strong written and verbal communication skills

Preferred Requirements:

• CPA, CFA or CMA designations

• Experience with Workday Financials

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.