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Regulatory Reporting Manager Jobs (NOW HIRING)

US Bank

Regulatory Reporting Manager

Charlotte, NC · Hybrid

$135K/yr

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 ...

US Bank

Regulatory Reporting Manager

Saint Louis, MO · Hybrid

$135K/yr

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 ...

Sezzle

OR

$138K/yr

The Bank Regulatory Reporting Manager will be the subject matter expert and primary owner of all bank regulatory filings, including Call Reports (FFIEC 031/041/051), and will serve as a key partner ...

Sezzle

OR

$101K - $138K/yr

The Regulatory Financial Reporting Manager will be the subject matter expert and primary owner of all bank regulatory filings, including Call Reports (FFIEC 031/041/051), and will serve as a key ...

Sezzle

Regulatory Financial Reporting Manager

$104K - $141K/yr

The Regulatory Financial Reporting Manager will be the subject matter expert and primary owner of all bank regulatory filings, including Call Reports (FFIEC 031/041/051), and will serve as a key ...

Sezzle

OR

$138K/yr

The Manager, Regulatory Reporting will be the subject matter expert and primary owner of all bank regulatory filings, including Call Reports (FFIEC 031/041/051), and will serve as a key partner to ...

Sezzle

Manager, Regulatory Reporting

$142K/yr

The Manager, Regulatory Reporting will be the subject matter expert and primary owner of all bank regulatory filings, including Call Reports (FFIEC 031/041/051), and will serve as a key partner to ...

MUFG

Regulatory Reporting Analyst

New York, NY · Hybrid

$77K - $98K/yr

The Financial Reporting Analyst reports to the Regulatory Reporting Manager and is responsible for the timely and accurate preparation and filing of various financial regulatory reports (including ...

TriSource Staffing Solutions

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Financial Reporting Manager

Bethesda, MD · On-site

$160K - $180K/yr

Financial Reporting Manager Location: Bethesda, MD Job Type: Full-time Job Summary We are seeking ... This role is responsible for ensuring accurate and timely regulatory filings, preparing SEC reports ...

Apply Early

Credit Agricole CIB

$120K - $150K/yr

Review all regulatory reports prior to submission to the regulatory agencies with management Respond to inquiries from local regulators regarding information reported. Respond to the Branches and ...

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Regulatory Reporting Manager information

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How much do regulatory reporting manager jobs pay per year?

As of Jul 6, 2026, the average yearly pay for regulatory reporting manager in the United States is $110,733.00, according to ZipRecruiter salary data. Most workers in this role earn between $77,500.00 and $136,500.00 per year, depending on experience, location, and employer.

What is a Regulatory Reporting Manager job?

A Regulatory Reporting Manager is responsible for ensuring that a company complies with financial and regulatory reporting requirements set by governing bodies. They oversee the preparation, accuracy, and timely submission of reports related to financial and regulatory compliance. This role involves analyzing regulatory guidelines, implementing reporting processes, and collaborating with internal teams to mitigate compliance risks. Additionally, they may liaise with auditors and regulators to address any reporting discrepancies or inquiries.

What are the key skills and qualifications needed to thrive in the Regulatory Reporting Manager position, and why are they important?

To excel as a Regulatory Reporting Manager, you need a strong background in finance or accounting, deep knowledge of relevant regulatory frameworks, and experience with data reconciliation and analysis. Familiarity with regulatory reporting software (such as AxiomSL or Oracle), advanced Excel skills, and certifications like CPA or CFA are highly valued. Outstanding attention to detail, strong organizational abilities, and effective communication skills help set top performers apart. These qualities are critical to ensure timely, accurate reporting and effective liaison with both internal teams and external regulatory bodies.

What are some typical challenges a Regulatory Reporting Manager might face in this role?

Regulatory Reporting Managers often encounter challenges like staying current with evolving regulations, managing tight deadlines during reporting cycles, and ensuring data accuracy across multiple sources. You may need to work cross-functionally with other departments, such as finance, compliance, and IT, to gather information and resolve discrepancies. Additionally, the pressure to provide error-free reports to regulators can be significant, requiring diligence and strong time-management skills. Overcoming these challenges not only builds expertise but also showcases your reliability and commitment to compliance, both of which are highly valued in this field.

More about Regulatory Reporting Manager jobs
What cities are hiring for Regulatory Reporting Manager jobs? Cities with the most Regulatory Reporting Manager job openings:
What are the most commonly searched types of Regulatory Reporting jobs? The most popular types of Regulatory Reporting jobs are:
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Regulatory Reporting Manager jobs near you
Infographic showing various Regulatory Reporting Manager job openings in the United States as of June 2026, with employment types broken down into 65% Full Time, 33% Part Time, and 2% Contract. Highlights an 91% Physical, 3% Hybrid, and 6% Remote job distribution, with an average salary of $110,733 per year, or $53.2 per hour.
Regulatory Reporting Manager

Regulatory Reporting Manager

US Bank

Charlotte, NC • Hybrid

$135K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 22 days ago

U.S. Bank rating

8.2

Company rating: 8.2 out of 10

Based on 352 frontline employees who took The Breakroom Quiz

39th of 144 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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