Regulatory Compliance, Reporting & Surveillance Director

Job overview

The Regulatory Compliance, Reporting & Surveillance Director role is onsite in New York, NY, with a hybrid program requiring at least three office days per week; compensation is $200,000–$225,000 per year. The role leads compliance programs supporting Daiwa Capital Markets America’s institutional Equities, Fixed Income, Treasury, and Futures businesses.

What you'll do

• Provide regulatory advice and lead compliance programs
• oversee regulatory reporting, surveillance, testing, and supervisory controls
• coordinate examinations and inquiries
• manage remediation and regulatory change
• oversee compliance technology and vendors
• prepare governance reporting
• and supervise and develop compliance professionals.

What we're looking for

Skills & competencies

regulatory compliance

reporting

surveillance

director

new york ny

hybrid

broker-dealer

regulatory examinations

compliance testing

$200k–$225k annually

Work arrangement

• Weekend coverage required

Benefits & perks

• Medical, dental, vision, ancillary insurance, FSA/HSA, EAP, wellness benefits, parental and family-building benefits, 401(k) match, paid time off and holidays, professional development, educational assistance, and training.

Why this role

The role operates in a player-coach capacity and partners with business, operations, risk, finance, legal, audit, technology, and global compliance teams.

About the employer

DAIWA CAPITAL MARKETS AMERICA INC is hiring for this role. Industry: Investment Banking and Securities Intermediation. Sector: 52.