Swap Dealer Head of Regulatory Reporting

6 days ago

New York, United States Tandym Group Full time

A tech investment firm in New York City is currently seeking an experienced Finance professional to join their growing team as their new Head of Regulatory Reporting Swap Dealer. In this role, the Head of Regulatory Reporting Swap Dealer will be responsible for establishing, maintaining, and developing the company's swap dealer financial and regulatory reporting framework for swap dealer activities.

Responsibilities:

The Head of Regulatory Reporting Swap Dealer will:

  • Ensure compliance with all swap dealer financial regulatory requirements (ie CFTC, NFA)
  • Oversee daily and monthly regulatory filings including daily capital computations. Review position, margin and counterparty reports
  • Assist with the monthly analysis and review of legal entity balance sheet and income statement including detailed review of balance sheet reconciliations
  • Evaluate new products, services and business initiatives from regulatory finance perspective, to ensure proper setup and that issues are identified and addressed
  • Develop and enhance the existing processes including understanding data flows in order to lead automation efforts
  • Create, update and maintain process documentation and procedures
  • Act as the financial point person on regulatory examinations
  • Serve as a point of contact and manage relationships with the regulators and external auditors
  • Perform other duties, as needed
Qualifications:
  • 10+ years of work experience with significant experience at a related Regulatory agency or in a Swap Dealer Controller-capacity role
  • Bachelor's Degree in Accounting and/or Finance
  • Strong product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses
  • Experience with the implementation and execution of swap dealer regulatory function
Desired Skills:
  • Series 27
  • Experience as a FinOp
  • Experience with Broker Dealers and FCMs

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