Swap Dealer Head of Regulatory Reporting

Galaxy logoGalaxy

Apr 13

Who You Are:

The Head of Regulatory Reporting Swap Dealer will be responsible for establishing, maintaining, and developing Galaxy’s swap dealer financial and regulatory reporting framework for swap dealer activities. The swap dealer is a direct subsidiary of Galaxy Digital L.P. and sits within the sales and trading team.

What You’ll Do:

  • Ensure compliance with all swap dealer financial regulatory requirements (ie CFTC, NFA).
  • As the head of the US regulatory group, oversee daily and monthly regulatory filings including daily capital computations. Review position, margin and counterparty reports.
  • Monthly analysis and review of legal entity balance sheet and income statement including detailed review of balance sheet reconciliations. Evaluate new products, services and business initiatives from regulatory finance perspective, to ensure proper setup and that issues are identified and addressed.
  • Develop and enhance the existing processes including understanding data flows in order to lead automation efforts.
  • Create, update and maintain process documentation and procedures.
  • Financial point person on regulatory examinations.
  • Serve as a point of contact and manage relationships with the regulators and external auditors.
  • Laisse with other teams within the swap dealer, such as Legal, Compliance, Risk, Operations, and IT to ensure compliance with applicable requirements.

What We’re Looking For:

  • At least 10 years of work experience with significant experience at a related regulatory agency or in a swap dealer controller capacity role.
  • Strong product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses.
  • Experience with the implementation and execution of swap dealer regulatory function.
  • Bachelor’s degree in accounting

Bonus Points:

  • Series 27
  • Experience as a FinOp
  • Experience with Broker Dealers and FCMs

What We Offer:

  • Competitive base salary, bonus, and equity compensation
  • Flexible Time Off (i.e. unlimited paid vacation days)
  • Company paid Holidays (11)
  • Company paid sick leave
  • Company-paid health and protective benefits for employees, partners, and other dependents
  • 3% 401(k) company contribution
  • Generous paid Parental Leave
  • Free virtual coaching and counseling sessions through Ginger
  • Opportunities to learn about the Crypto industry
  • Free daily snacks in-office
  • Smart, entrepreneurial, and fun colleagues
  • Employee Resource Groups

Apply now and join us on our mission to engineer a new economic paradigm.

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10 applications