Unknown Company

VP, Legal Entity Controller & Regulatory Reporting

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new york, ny • Posted 1 weeks ago
Remote Full Time Controlling

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

Tagged as: Hybrid Remote/Office

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VP, Legal Entity Controller & Regulatory Reporting in new york at Unknown Company

This position is listed as full time and able to be worked remotely.

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