Our client is a diversified financial and real estate company. They seek a VP, Legal Entity Controller & Regulatory Reporting (swaps team) to join their Manhattan, NY office.
Responsibilities
- Manage legal entity controllership and financial reporting activities for broker-dealer and swap dealer entities in accordance with U.S. GAAP
- Collaborate with accounting, legal, compliance, treasury, operations, technology, and finance teams to ensure appropriate accounting treatment for transactions and new products
- Advise on strategic transactions, organizational changes, and business initiatives impacting financial reporting and regulatory compliance
- Oversee month-end and quarter-end close processes, including journal entries, reconciliations, and financial statement preparation
- Prepare regulatory and external reporting filings, including broker-dealer financial statements, disclosures, and supporting schedules
- Maintain accounting policies, technical documentation, and control frameworks related to derivatives, funding activities, and complex financial transactions
- Analyze balance sheet and income statement activity, perform variance analysis, and provide management reporting and commentary
- Support internal, external, and regulatory audits, including interactions with the SEC, FINRA, and CFTC
- Administer regulatory capital and customer protection reporting processes, ensuring alignment between GAAP financials and regulatory requirements
- Drive system implementations, process automation, data governance, and technology enhancements to improve scalability, controls, and reporting efficiency
Requirements
- 8-10 years of relevant experience
- Derivatives knowledge required and 15c3-1 & 15c3-3 experience
- Big 4 experience
- Direct experience with swaps required
- Ability to operate in a fast paced environment
- Prior experience involved in new business launces, regulatory build outs, or entity expansion
- CPA required
Job ID # 48353
