Finance Manager, Regulatory Reporting

Advisor Group • Scottsdale, AZ

82d • $130,000 - $150,000

About The Position

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. 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.

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.

Nice To Haves

• CPA, CFA or CMA designations.
• Experience with Workday Financials.

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.

Benefits

• Health insurance
• Vision insurance
• Dental insurance
• 401k
• Paid time away
• Volunteer days
• Annual bonus

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Administrative and Support Services
• Education Level: Bachelor's degree