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Capital Introduction Jobs (NOW HIRING)

US Bank

Regulatory Reporting Manager

Saint Louis, MO · Hybrid

$135K/yr

Exposure to capital introduction, clearing, prime brokerage, or correspondent models Core Competencies & Skills - Technical & Regulatory Judgment * Deep understanding of brokerdealer balance sheet ...

SKF Group

Engineering Technician

Sumter, SC

Supporting New Capital Introduction Activities * Other manufacturing engineering support as needed Key Responsibilities * First line support in addressing daily production issues related to process ...

BTIG

Corporate Access, Vice President

New York, NY · On-site

The firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy ...

BTIG

Equity Research Supervisory Analyst

New York, NY · On-site

The firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy ...

BTIG

Equity Research Supervisory Analyst

New York, NY · On-site +1

The firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy ...

jcb

New Product Introduction Analyst

Pooler, GA · On-site

Position Purpose The New Product Introduction Analyst plays a crucial role in supporting the ... any Capital investment, Work Routing, SOPS and Line Balance documents prior to cut-in * Other ...

AB SKF

Engineering Technician

Sumter, SC · On-site

Supporting New Capital Introduction Activities * Other manufacturing engineering support as needed Key Responsibilities * First line support in addressing daily production issues related to process ...

BTIG

Corporate Access, Vice President

New York, NY · On-site

The firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy ...

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Capital Introduction information

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$21.5K

$276K

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How much do capital introduction jobs pay per year?

As of Jul 21, 2026, the average yearly pay for capital introduction in the United States is $275,955.00, according to ZipRecruiter salary data. Most workers in this role earn between $250,000.00 and $338,000.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive in the Capital Introduction position, and why are they important?

To thrive in Capital Introduction, you need a solid understanding of financial markets, investor relations, and alternative investment strategies, often supported by degrees in finance or economics. Familiarity with CRM platforms, investor databases, and industry research tools is vital, as are any certifications such as the CFA or CAIA. Superior interpersonal, networking, and presentation skills help build lasting relationships with both fund managers and institutional investors. These abilities enable you to successfully match investment opportunities with suitable capital sources, driving growth for clients and your firm.

What jobs make $1,000,000 a year?

In the field of capital introduction, roles such as senior hedge fund managers, private equity partners, and high-level investment bankers can earn $1,000,000 or more annually through base salary, bonuses, and profit sharing. These positions typically require extensive experience, strong industry networks, and advanced financial skills. Compensation at this level is often performance-based and linked to fund or deal success.

What is a Capital Introduction?

A Capital Introduction is a role that involves connecting fund managers or investment firms with potential investors, such as institutional clients or high-net-worth individuals. The job requires strong networking skills, industry knowledge, and often involves organizing meetings and presentations to facilitate capital raising efforts.

What are some typical challenges faced by professionals in Capital Introduction?

Professionals in Capital Introduction often encounter the challenge of balancing the expectations of both fund managers and potential investors, ensuring the right fit for each party. Navigating highly competitive markets and maintaining up-to-date knowledge of investor preferences requires proactive outreach and robust research. Additionally, building and maintaining a broad, quality network is essential, which can be demanding in terms of time and relationship management. Success in the role often depends on the ability to adapt quickly to changing market conditions and to communicate complex investment strategies clearly.

What is a Capital Introduction job description?

A Capital Introduction professional connects asset managers or fund managers with potential investors, such as institutional clients or high-net-worth individuals. The role involves building relationships, presenting investment strategies, and facilitating fundraising efforts, often requiring strong communication and industry knowledge. They may work in financial firms, hedge funds, or private equity environments and need familiarity with financial products and investor networks.

How much do Capital Introduction analysts make?

Capital Introduction analysts typically earn between $70,000 and $150,000 annually, depending on experience, location, and firm size. Compensation may also include bonuses and performance incentives, especially in financial hubs or large firms.

What is a Capital Introduction job?

A Capital Introduction job involves connecting hedge fund managers with potential institutional investors, such as family offices, endowments, and pension funds. Professionals in this role work for prime brokerage firms, providing fundraising support and strategic investor targeting without directly managing capital. They facilitate meetings, share market insights, and help funds navigate the fundraising landscape. Success in this role requires strong relationship management, industry knowledge, and an understanding of investor preferences.

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What cities are hiring for Capital Introduction jobs? Cities with the most Capital Introduction job openings:
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Capital Introduction jobs near you
Infographic showing various Capital Introduction job openings in the United States as of July 2026, with employment types broken down into 91% Full Time, 5% Part Time, and 4% Contract. Highlights an 89% Physical, 4% Hybrid, and 7% Remote job distribution, with an average salary of $275,955 per year, or $132.7 per hour.
Regulatory Reporting Manager

Regulatory Reporting Manager

US Bank

Saint Louis, MO • Hybrid

$135K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 8 days ago

U.S. Bank rating

8.2

Company rating: 8.2 out of 10

Based on 358 frontline employees who took The Breakroom Quiz

44th of 149 rated banks

Job description

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.

Job Description

The Regulatory Reporting Manager (Broker Dealer) is responsible for overseeing the preparation, review, and submission of all regulatory filings for registered broker dealer legal entities. This role ensures compliance with SEC and FINRA reporting requirements, including net capital and customer protection rules, and serves as the primary escalation point for complex interpretations, filing risks, and regulatory exams. The position manages analysts, maintains strong regulatory controls, and partners closely with the Business Line to ensure filings are accurate, timely, and defensible.

Key Responsibilities

- BrokerDealer Regulatory Reporting

  • Own endtoend preparation, review, and submission of FOCUS Reports (Part IIA / IIB) and related schedules.

  • Oversee reporting related to SEC Rule 15c31 (Net Capital) and SEC Rule 15c33 (Customer Protection / Reserve Formula).

  • Review complex areas including:

    • Netting and allowable vs. nonallowable assets

    • Haircuts and concentration charges

    • Customer reserve computations and deposits

    • PAB vs. customer segregation distinctions

    • Affiliate and intercompany balances

  • Assess the impact of new products, business changes, or legalentity activity on regulatory reporting.

- Management & Leadership

  • Lead, coach, and develop a team of brokerdealer regulatory reporting analysts.

  • Establish clear expectations for quality, documentation standards, and filing discipline.

  • Perform detailed review and approval of analyst work with a focus on regulatory defensibility.

  • Ensure appropriate coverage, crosstraining, and continuity for key filings and critical rules.

- Controls, Governance & Exams

  • Maintain and enhance controls supporting brokerdealer regulatory reporting in alignment with SOX/FRR and supervisory procedures.

  • Own regulatory reporting narratives, desk procedures, and control documentation.

  • Coordinate responses to FINRA, SEC, and internal audit exams, including data requests, findings, and remediation.

  • Perform rootcause analysis on reporting issues and lead sustainable remediation.

CrossFunctional Partnership

  • Partner across different areas of the business line.

  • Act as a key Finance point of contact for regulatory inquiries and escalations.

  • Clearly explain regulatory outcomes, risks, and issues to senior Finance and business leadership.

- Process Improvement & Regulatory Change

  • Drive automation, standardization, and reduction of manual regulatory reporting processes.

  • Lead implementation of regulatory rule changes, interpretive guidance, or FINRA/SEC updates.

  • Improve data lineage between source systems and regulatory reports.

Basic Qualifications
- Bachelor's degree in accounting or finance, or equivalent work experience
- Eight or more years of experience in financial accounting activities

Preferred Qualifications

  • Strong working knowledge of SEC and FINRA brokerdealer regulations

  • Prior team leadership, review, or informal peoplemanagement experience

  • Experience supporting or responding to regulatory exams

  • Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment

  • CPA or equivalent professional certification

  • Direct experience with FOCUS filings, net capital computations, and reserve formula calculations

  • Prior interaction with FINRA or SEC examiners

  • Experience supporting multiple brokerdealer legal entities or complex BD structures

  • Exposure to capital introduction, clearing, prime brokerage, or correspondent models

Core Competencies & Skills

- Technical & Regulatory Judgment

  • Deep understanding of brokerdealer balance sheet mechanics

  • Strong command of regulatory interpretation and judgment

  • Ability to identify filing and exam risk before submission

- Leadership & Communication

  • Clear, concise written and verbal communication

  • Comfortable challenging unsupported explanations

  • Strong escalation and issueframing instincts

- Control & Execution Mindset

  • Exceptionally detailoriented with high accuracy standards

  • Strong documentation and auditreadiness discipline

  • Thrives under regulatory deadlines and scrutiny

This role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.

#INDMO

If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to ourdisability accommodations for applicants.

Benefits:

Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:

  • Healthcare (medical, dental, vision)

  • Basic term and optional term life insurance

  • Short-term and long-term disability

  • Pregnancy disability and parental leave

  • 401(k) and employer-funded retirement plan

  • Paid vacation (from two to five weeks depending on salary grade and tenure)

  • Up to 11 paid holiday opportunities

  • Adoption assistance

  • Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Review our full benefits available by employment status here.

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

E-Verify

U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about theE-Verify program.

The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,175.00 - $115,500.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.

What U.S. Bank employees say

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About U.S. Bank

Sourced by ZipRecruiter

U.S. Bank is a reputable and established financial institution that plays a significant role in the banking sector. With a history spanning over 150 years, U.S. Bank has built a strong foundation of trust and reliability. As a comprehensive bank, they offer a wide array of financial products and services to cater to the diverse needs of their customers, including individuals, businesses, and communities. Customer satisfaction is of utmost importance to U.S. Bank. They prioritize delivering exceptional service and fostering long-term relationships with their clients. Through their extensive network of branches and advanced digital banking platforms, U.S. Bank ensures convenient access to their services, empowering customers to manage their finances efficiently and securely.

Industry

Banking and credit intermediation

Company size

10,000+ Employees

Headquarters location

Minneapolis, MN, US

Year founded

1863

Social media

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