Associate Director
Job Title: Associate Director, Regulatory Reporting & Accounting (Futures)
Location: On-site - New York, NY
Salary Range: $150,000 - $185,000 base
Industry: Fintech
Employment Type: Full-Time
About the Role:
Seeking a highly motivated and detail-oriented Associate Director of Regulatory Reporting & Accounting to join a top-tier fintech firm in New York City. In this high-visibility role, you will work directly with the CFO of Futures to manage and oversee all regulatory reporting and accounting functions specific to the firm's futures commission merchant (FCM) operations. This is a critical role for ensuring compliance with regulatory standards and the financial integrity of the business.
Key Responsibilities:
- Prepare and file regulatory reports, including the FOCUS Report, in accordance with CFTC, NFA, and SEC requirements.
- Oversee accounting functions related to the futures business, including daily P&L, reconciliations, and client funds segregation.
- Partner with internal teams (Finance, Compliance, Legal, and Operations) to ensure accurate and timely reporting.
- Respond to regulatory inquiries and support periodic examinations by regulators such as the NFA, CME, and SEC.
- Develop and maintain internal controls, policies, and procedures to ensure ongoing compliance and reporting accuracy.
- Provide strategic input to the CFO of Futures regarding capital and liquidity planning within the FCM framework.
Qualifications:
- Minimum 5 years of experience in regulatory reporting or compliance at a futures commission merchant or broker-dealer.
- Deep understanding of FCM operations, financial accounting, and regulatory requirements.
- Series 3 and Series 27 licenses strongly preferred.
- Strong analytical and organizational skills with a keen attention to detail.
- Ability to thrive in a fast-paced, dynamic fintech environment.
- Excellent communication skills and experience working with senior leadership.
Why Join Us?
- Be part of a forward-thinking fintech company at the intersection of technology and capital markets.
- Work closely with C-level leadership and play a pivotal role in regulatory strategy.
- Competitive compensation and benefits in a collaborative, high-performance culture.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.