New York City, NY30+ days ago
p>• Lead all financial reporting, month-end close, and consolidation processes across the various entities in the business • Own and enforce accounting policies for structured products including total return swaps (TRS), repurchase agreements, securities lending, and other funding arrangements in accordance with US GAAP • Manage FOCUS and other regulatory reporting, as well as overall capital compliance, for the SEC-registered SBSD, including net capital requirements under SEC Rule 18a-1, financial recordkeeping under Rule 18a-6, and periodic reporting obligations under Rule 18a-7 • Contribute to compliance efforts related to SEC risk management requirements applicable to SBSDs, including margin, counterparty exposure, and position reporting • Partner with technology leadership on the modernization of our accounting and order management systems, including the transition from legacy infrastructure to new financial reporting and journal entry processes • Establish and maintain strong internal controls, audit readiness, and governance frameworks across both regulated and unregulated entities • Manage relationships with external auditors, regulators, custodians, and counterparties • Build and develop the finance and accounting team. • Familiarity with SEC or FINRA regulatory capital frameworks; direct experience with SEC SBSD rules (18a-1, 15c3-1, 18a-6, 18a-7) is a plus but not required - candidates with transferable regulatory capital experience are encouraged to apply • Strong technical accounting background in derivatives and structured products under US GAAP, including equity swaps, TRS, and repurchase agreements • Experience managing financial operations across both regulated entities and unregulated affiliates, including intercompany arrangements and transfer pricing considerations • Track record of leading or contributing to financial systems modernization initiatives • Excellent communication skills with the ability to translate complex financial and regulatory matters internally and externally.