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Swap Dealer Controller - Capital Markets

Robert Half - US New York, United States
Posted 3 days ago Hybrid Permanent $170k - $200k
T
Posted by
Trishan Khareghat
Financial Services Recruitment
Robert Half Financial Services is recruiting for a Swap Dealer Controller role for a global market making, execution/clearing and broker dealer firm located in midtown Manhattan, New York. Our client requires 7+ years of Accounting experience at a Swap Dealer or Capital Markets firm, with knowledge of CFTC, NFA and CME Regulatory Reporting. CPA and/or an active FINRA Series 27 or 99 License is also advantageous. This role is hybrid remote requiring 3 days per week in the midtown Manhattan New York office.


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

Responsibilities:

  • Ensure compliance with the company’s 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.
  • 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 company’s 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 firm’s 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.

Requirements:

  • 7+ years of Accounting experience at a Swap Dealer or Capital Markets firm
  • Knowledge of CFTC, NFA and CME Regulatory Reporting
  • CPA is advantageous
  • An active FINRA Series 27 or 99 License is advantageous
  • Thorough knowledge of accounting principles and procedures
  • Advanced Microsoft Excel skills - automating tasks and organizing data for analytical purposes with pivot tables and charts
  • PeopleSoft general ledger system skills is advantageous
  • Bachelor Degree in Accounting or related subject

This Swap Dealer Controller role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role, and are eligible to work in the United States. The salary is dependent on experience, an initial range is $170-200k base plus bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn Trishan.Khareghat@roberthalf.com

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