Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will lead financial regulatory reporting, compliance, closing activities, budgets, reconciliations, and internal controls for the regulated entity. You will support audits, regulatory requests, licensing, financial systems, asset-segregation compliance, and financial projects while reporting financial matters to executive leadership and the board.
Requirements
- Financial analysis and reporting expertise
- Financial regulatory compliance knowledge
- 12-15 years of financial analysis, regulatory reporting, or similar experience
- 3-5 years of fintech or relevant-industry experience
- Financial reporting standards knowledge
- Financial and treasury reconciliation experience
- MiFID II and custodial or safeguarding regulatory knowledge
- ACA or other relevant certification
Responsibilities
- Develop and enhance financial compliance policies, programs, and procedures
- Prepare, track, and maintain regulatory financial metrics
- Monitor financial condition, revenue, profit and loss, and balance-sheet information
- Compile and submit financial regulatory reports
- Support audits and audited annual financial statements
- Oversee financial policies and internal controls
- Respond to finance-related regulatory requests with Compliance
- Oversee monthly and quarterly financial closings
- Prepare and track local-entity budgets
- Report financial matters to the CCO, CEO, and Board of Directors
- Oversee financial project management
- Define and approve business requirements for financial systems
- Oversee EEA-specific internal financial controls and mitigate residual risks
- Coordinate with Treasury and Banking and Payments teams
- Support regulatory-law reviews and remediation plans
- Provide financial support for license applications and renewals
- Monitor and test asset-segregation compliance
- Oversee financial and treasury reconciliations, including client-funding reconciliations
- Develop a robust control environment
Hiring Process
Job-related skills or work-style assessment may be requested.