Regulatory Reporting Specialist

7 days ago


New York, New York, United States Tandym Group Full time

A leading tech investment firm in New York City, Tandym Group, is seeking an experienced Finance professional to fill the role of Head of Regulatory Reporting Swap Dealer.

This position involves establishing, maintaining, and developing the company's swap dealer financial and regulatory reporting framework for swap dealer activities.

Key Responsibilities:

  • Ensure compliance with all swap dealer financial regulatory requirements, including those set by the CFTC and NFA.
  • Oversee daily and monthly regulatory filings, including daily capital computations, 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 a regulatory finance perspective, ensuring proper setup and identifying potential issues.
  • Develop and enhance existing processes, including understanding data flows, 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 regulators and external auditors.

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 functions.
  • Desired Skills: Series 27, experience as a FinOp, experience with Broker Dealers and FCMs.


  • New York, New York, United States Madison-Davis, LLC Full time

    Job Title: Regulatory Reporting SpecialistJob Summary:Madison-Davis, LLC is seeking a highly skilled Regulatory Reporting Specialist to join our team. The successful candidate will be responsible for preparing various regulatory reports, including the FRY 9C, FFIEC009/009a, Y9LP, FRY 11, FR2314, and TIC reports, as well as related supporting work papers and...


  • New York, New York, United States Mizuho Corporate Bank Full time

    Job Title: Regulatory Reporting SpecialistAbout the Role:The Regulatory Reporting Specialist will be responsible for preparing and reviewing regulatory reports in accordance with US GAAP and instructions from regulatory authorities. The ideal candidate will have a strong knowledge of financial accounting and regulatory reporting, as well as an understanding...


  • New York, New York, United States Mizuho Corporate Bank Full time

    Job SummaryMizuho Corporate Bank is seeking a highly skilled Regulatory Reporting Specialist to join our team. As a key member of our Regulatory Reporting Unit, you will be responsible for preparing and submitting regulatory reports to various authorities in a timely and accurate manner.Key ResponsibilitiesPrepare and review regulatory reports, including FR...


  • New York, New York, United States Phaxis Full time

    Key ResponsibilitiesAs a Regulatory Reporting Specialist at Phaxis, you will be responsible for ensuring the accuracy and timeliness of daily, weekly, and monthly FR2004 submissions, including ad hoc requests from clients. You will develop in-depth knowledge of FR2004 reporting requirements and provide training and support to team members.Key SkillsStrong...


  • New York, New York, United States SMBC Full time

    Job Title: Regulatory Reporting SpecialistSMBC Group is a leading global financial institution with a rich history and diverse range of financial services. As a Regulatory Reporting Specialist, you will play a critical role in maintaining the integrity of our financial reporting and ensuring compliance with regulatory requirements.Key Responsibilities:Assist...


  • New York, New York, United States Madison-Davis, LLC Full time

    Regulatory Reporting AssociateJob Summary:Madison-Davis, LLC is seeking a highly skilled Regulatory Reporting Associate to join our team. As a key member of our regulatory reporting team, you will be responsible for preparing and submitting various regulatory reports to the US Department of Commerce and other regulatory bodies.Key Responsibilities:Prepare...


  • New York, New York, United States Madison-Davis, LLC Full time

    Regulatory Reporting AssociateAbout the Role:Madison-Davis, LLC is seeking a highly skilled Regulatory Reporting Associate to join our team. As a key member of our financial reporting team, you will be responsible for preparing and submitting various regulatory reports to the US Department of Commerce and other regulatory bodies.Key Responsibilities:Prepare...


  • New York, New York, United States Arrayo Full time

    Liquidity Risk Regulatory Reporting SpecialistArrayo is seeking a detail-oriented and experienced Liquidity Risk Regulatory Reporting Specialist to join one of our project teams working for a financial firm client. The successful candidate will play a crucial role in ensuring the accuracy and integrity of regulatory reporting data through in-depth analysis,...


  • New York, New York, United States Madison-Davis, LLC Full time

    Regulatory Reporting AssociateJob Summary:Madison-Davis, LLC is seeking a highly skilled Regulatory Reporting Associate to join our team. As a key member of our financial reporting team, you will be responsible for preparing and submitting various regulatory reports to the US Department of Commerce and other relevant authorities.Key Responsibilities:Prepare...


  • New York, New York, United States Yoh Full time

    Job Title: Regulatory Reporting AnalystYoh, a Day & Zimmermann company, is seeking a highly skilled Regulatory Reporting Analyst to join our team in New York City. As a key member of our finance department, you will play a critical role in ensuring the accuracy and compliance of our regulatory reports.Job Summary:We are looking for a detail-oriented and...


  • New York, New York, United States Yoh Full time

    Job Title: Regulatory Reporting AnalystYoh, a Day & Zimmermann company, is seeking a highly skilled Regulatory Reporting Analyst to join our team in New York City. As a key member of our finance department, you will play a critical role in ensuring the accuracy and compliance of our financial reports.Job Summary:We are looking for a detail-oriented and...


  • New York, New York, United States Tandym Group Full time

    A leading tech investment firm in New York City, Tandym Group, is seeking an experienced Finance professional to lead their regulatory reporting efforts as their new Head of Regulatory Reporting Swap Dealer.In this critical role, the Head of Regulatory Reporting Swap Dealer will be responsible for establishing, maintaining, and developing the company's swap...


  • New York, New York, United States Selby Jennings Full time

    Regulatory Reporting Associate/Senior ManagerA leading consulting firm, Selby Jennings, is seeking a highly skilled Regulatory Reporting Associate or Senior Manager to join their team. As a global leader in consulting services, they provide expertise in audit, tax, advisory, and consulting, with operations in over 150 countries.Key Responsibilities:Analyze...


  • New York, New York, United States Rabobank Full time

    Job Title: Regulatory Reporting InternJob Description:Rabobank is seeking a highly motivated and detail-oriented Regulatory Reporting Intern to join our team. As a Regulatory Reporting Intern, you will play a critical role in preparing and timely reporting of regulatory information to various regulatory agencies.Key Responsibilities:Contribute to a diverse...


  • New York, New York, United States Tandym Group Full time

    A leading tech investment firm in New York City is seeking an experienced Finance professional to serve as their 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...


  • New York, New York, United States MUFG Bank, Ltd. Full time

    Make a meaningful impact at MUFG Bank, Ltd.As a Regulatory Reporting Analyst, you will play a critical role in ensuring the timely and accurate preparation and filing of various financial regulatory reports. This position supports multiple cross-functional regulatory reporting efforts and requires strong attention to detail, excellent interpersonal and...


  • New York, New York, United States Yoh Full time

    Regulatory Reporting Analyst (With GAAP)Yoh's client in New York City is seeking a skilled Regulatory Reporting Analyst to support their financial reporting needs. This contract opportunity offers the potential to convert to a full-time position.Job Details:Assignment Duration: 6+ Months (Potential to convert to full-time)Location: NYC or Houston (Remote...


  • New York, New York, United States Rabobank Full time

    Job Title: Regulatory Reporting InternJob Description:Rabobank is seeking a highly motivated and detail-oriented Regulatory Reporting Intern to join our team. As a Regulatory Reporting Intern, you will be responsible for preparing and timely reporting of regulatory information to various regulatory agencies.Key Responsibilities:Contribute to a diverse team...


  • New York, New York, United States iCapital Full time

    About the RoleiCapital is seeking a highly skilled Regulatory Reporting Associate to join its Regulatory and Compliance team. This role will work closely with senior management to ensure compliance with regulatory requirements.The ideal candidate will have experience with regulatory filings, including U.S. and international submissions. They will be...


  • New York, New York, United States Selby Jennings Full time

    A global leader in consulting services, Selby Jennings provides expertise in audit, tax, advisory, and consulting. With operations in over 150 countries, they assist organizations in navigating complex challenges, focusing on innovation and risk management.Key Responsibilities:Analyze and validate financial data to ensure accuracy and completeness in...