Regulatory Compliance, Reporting & Surveillance Director

DAIWA CAPITAL MARKETS AMERICA INC•New York, NY

1d•$200,000 - $225,000•Hybrid

About The Position

DCMA is seeking a Regulatory Compliance, Reporting, and Surveillance Director to join the Compliance department. In this role, you will lead key components of the firm’s regulatory compliance framework supporting institutional Equities, Fixed Income, Treasury and Futures businesses. You will provide senior regulatory advice; oversee assigned regulatory reporting, surveillance, testing and supervisory-control programs; coordinate examinations and inquiries; and drive sustainable improvements to policies, procedures, technology and controls. Operating in a player-coach capacity, you will supervise Compliance professionals and partner with Front Office supervisors, Operations, Risk Management, Finance, Legal, Internal Audit, Technology, Human Resources, global Compliance teams, regulators and third-party providers. The position requires sound judgment, technical depth, strong program management, and effective escalation.

Requirements

Bachelor’s degree in business, finance, accounting, economics, law, information systems, or related discipline.
At least 10 years of relevant broker-dealer, financial-services, regulatory, legal, audit, risk or compliance experience.
Strong knowledge of requirements applicable to institutional Equities, Fixed Income, Treasury and Futures activities, with demonstrated expertise in regulatory reporting, surveillance, examinations, testing, supervisory controls or regulatory change.
Experience coordinating complex regulatory, audit, reporting or remediation matters across multiple departments.
Understanding of reporting data flows, reconciliations, exception management, error correction, evidence retention and control documentation.
Experience developing policies, procedures, training, management reporting and sustainable supervisory or compliance controls.
Experience with compliance technology, regulatory reporting systems, surveillance platforms, workflow applications, or third-party providers.
Strong written and verbal communication, analytical ability, organization, attention to detail, and sound judgment.
Prior people-management, project-management or significant program-leadership experience.

Nice To Haves

Advanced degree, relevant FINRA registrations; Series 7, 24, 57 & 63.
Experience supporting an institutional broker-dealer, Futures Commission Merchant or Primary Dealer.
Working knowledge of CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader or securities transaction reporting.
Experience with examinations, regulatory reporting remediation, data-quality reviews, system implementations, vendor transitions or AI-supported surveillance.
Experience preparing materials for senior management, governance committees, Boards or regulators.

Responsibilities

Provide practical regulatory guidance; lead assigned compliance programs; assess new products, business initiatives, systems and regulatory developments; establish ownership, escalation, documentation and reporting standards; and represent the firm at appropriate industry forums.
Oversee the Compliance framework for assigned obligations, including CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader and applicable securities transaction reporting.
Oversee assigned market, trade and electronic communications surveillance. Evaluate coverage, data feeds, scenarios, thresholds and workflows; review significant alerts and trends; establish investigation and documentation standards; and coordinate enhancements with supervisors, Technology, Risk Management and vendors, including appropriate use of analytics and AI-supported controls.
Lead or coordinate examinations, sweeps, questionnaires, trade-data requests and information requests involving FINRA, SEC, CME, CFTC, the Federal Reserve, DTCC, and other applicable authorities. Establish response plans, assign deliverables, validate submissions, track deadlines and commitments, maintain complete records, and escalate material or overdue matters.
Develop and maintain a risk-based inspection and testing schedule. Define scope, procedures, sampling, evidence and reporting standards; oversee findings and recommendations; assign corrective actions and target dates; validate closure; and support the annual CCO report, CEO certifications and assessments of supervisory controls.
Serve as a senior Compliance stakeholder for regulatory reporting, surveillance, filing, workflow and governance applications. Define requirements, coordinate implementation and testing, challenge system or vendor results, escalate incidents, monitor corrective actions, and promote effective automation, analytics and data-quality controls.
Oversee assigned Primary Dealer, Federal Reserve, Treasury Market Practices Group and Treasury auction compliance requirements, including certifications, disclosures, attestations, training, testing and supporting documentation.
Maintain assigned policies, procedures, supervisory matrices and key operating procedures. Assess regulatory changes, perform gap reviews, and coordinate implementation. Design or oversee role-based training, annual compliance communications, completion tracking, attestations and targeted follow-up.
Prepare reporting for the Compliance Committee, CCO, senior management, Board and other governance bodies. Communicate regulatory developments, inquiries, reporting performance, surveillance results, testing, incidents, remediation, trends and resource concerns.
Supervise, coach and develop assigned professionals; establish priorities and quality standards; review significant work product; and maintain cross-training, for critical programs and recurring deliverables.

Benefits

Competitive Benefits Package (Medical, Dental and Vision)
Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability)
Flexible Spending and Health Savings Accounts (FSA and HSA)
Employee Assistance Program (EAP)
Comprehensive health and wellness benefits
Parental Leave
Family building benefits
401(k) with company match
Paid Time Off and holidays
Professional development, educational assistance and training programs
Community Engagement Programs