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(Archived) Financial Controller Swaps Dealer

Last Updated: 9/25/23

Job Description

Job description:

Financial Controller Swaps Dealer

New York City Onsite

This opportunity requires candidate to be local to the New York City area.

About The Role:

The Controller - Swaps Dealers oversees all financial activities of the swaps regulated entity including the month-end close process, financial reporting and deadline management.

What Youll Do:

  • Ensure compliance with the companys swaps regulatory requirements under the CFTC, NFA and CME.
  • Prepare and/or supervise the daily and monthly regulatory filings, including daily capital computations, monthly position, and counterparty reports and margin reports.
  • Conduct monthly analytical review on legal entity income statement and balance sheet.
  • Assist with the preparation of monthly management reports, including Board meetings.
  • Review and challenge balance sheet reconciliations.
  • Develop and enhance existing processes.
  • Develop and enhance existing processes.
  • Design and implement world class control environment.
  • Assist in all phases of the monthly and year-end closing and reporting functions, including:
  • Analyze variances in income statement and balance sheet accounts monthly.
  • Apply principles of accounting to analyze financial information and prepare financial reports.
  • Assist in year-end audits and manage ad-hoc inquiries from external auditors.
  • Assist with the preparation of the annual chief compliance officer report.
  • Monitor, supervise, and ensure proper training of support staff.
  • Assist the team with various ongoing audits (Internal, Regulatory, and External) by compiling requested information on a timely basis.
  • Create, update, and maintain process documentation and procedures, reducing inefficiencies where applicable.
  • Ensuring compliance with the companys regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
  • Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
  • Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
  • At all times complying with the companys Code of Conduct.
  • To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
  • To report any breaches of policy to Compliance and/ or your supervisor as required.
  • To escalate risk events immediately.
  • To provide input to risk management processes, as required.


What Were Looking For:

  • A Bachelors degree or equivalent in Accounting/related field -OR- Masters in Accounting, with at least three years of experience in a Swaps Controller position.
  • Proficiency in Microsoft Excel, Access, and Word in automating tasks and organizing data for analytical purposes with pivot tables and charts; advanced Microsoft Excel skills required.
  • Strong PeopleSoft general ledger skills.
  • Thorough knowledge of accounting principles and procedures.
  • Series 99 or 27 required
  • Successful completion of the Swaps proficiency exam a plus.
  • Excellent verbal and written communication skills.
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Why is This a Great Opportunity:

Global Broker Dealer with International exposure.Lots of growth opportunity and hands on experience.

Salary Type : Annual Salary

Salary Min : 150000

Salary Max : 175000

Currency Type : US Dollars

Company Details

Grand Rapids, Michigan, United States
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