Controller/Head of Finance- Swap Dealer

Title: Controller / Head of Finance – Swap Dealer

Office Status: NYC hybrid

Salary: 200k-250k base + 20-40% bonus

We’re representing a multi-billion-dollar tech-driven investment firm. Launched in 2018 and now publicly traded (their stock price is up over 40% over the past year – over $5b AUM) they specialize in trading and strategic advisory investments for various cryptocurrency, hedge fund and venture style investments.

They work with over 1,000 institutional trading counterparties which makes them industry leaders.

The CFO is looking for a Head of Swap Dealer Regulatory Reporting / Controller to build out a team to manage all financial reporting and reg requirements for CFTC along with monitoring all OTC derivative trade reporting.

The head of the team will be the point person for all regulatory exams and work with senior stakeholders across the business.

The team works on a hybrid work schedule 2x a week in office. This is a brand-new function at the firm and there is a plan in place to build a team under this person.

Responsibility:

• Oversee month-end close, quarterly financial review and annual audit of the swap dealer
• Oversee the design and implementation of robust controls to ensure compliance with accounting standards and regulatory rules
• Oversee daily capital ratio calculation process as well as the preparation and filing of the monthly NFA report
• Coordinate with Regulatory Policy and Accounting Policy teams to evaluate the impact of the new products/initiatives/regulatory guidance from regulatory and accounting perspective, and advise relevant stakeholders such as front-office, senior management, and implement necessary processes and controls
• Interface with regulators and provide responses to regulatory inquiries and exams
• Provide insights into balance sheet and capital management initiatives to optimize the use of the firm’s resources
• Establish strong working relationship with all stakeholders in and outside of the organization including senior management
• Provide leadership and direction for the team, identify knowledge gap and provide adequate training, recognize their skill-sets and employ resources appropriately to maximize their contribution
• Lead strategic and tactical finance projects on entity-level and global-level

Qualifications:

• 8+ years of experience from Big 4 or experience within the financial industry covering swap dealers
• Strong understanding of derivatives and CFTC regulations