# Director - Swap Dealer Regulatory Finance
**Company:** [Clear Street](https://hotfix.jobs/companies/clear-street)
**Location:** New York, NY
**Salary:** $160K-$215K
**Experience:** 8+ years
**Skills:** Cftc Regulations, Nfa Regulations, Sec Rule 18A-1, Regulatory Capital Calculations, Financial Reporting, Otc Derivatives, Swap Products, U.S. Gaap, Crypto Derivatives, Digital Assets, Series 27
**Posted:** 2026-05-14
> Leads finance workstreams for CFTC Swap Dealer registration, oversees regulatory capital, financial compliance, and reporting. Requires 8-15+ years in regulatory finance, derivatives expertise, and experience with CFTC/NFA frameworks, with crypto derivatives focus.
## Job Description
## Key Responsibilities

### Swap Dealer Registration & Buildout
- Lead and coordinate finance workstreams related to the CFTC Swap Dealer registration process, including:
  - Supporting the design and implementation of the regulatory capital framework in accordance with applicable CFTC capital rules (e.g., CFTC 23.101 / SEC 18a-1 where applicable).
  - Assisting with preparation of financial policies, procedures, and internal controls required for registration.
  - Partnering with Legal, Compliance, Risk, Operations, Treasury and Technology teams and external advisors to ensure operational readiness of the Swap Dealer entity.
  - Supporting regulatory filings and documentation required for NFA membership and CFTC registration.
  - Designing processes for daily regulatory capital monitoring.
  - Building the financial reporting infrastructure needed for regulatory filings and financial statement preparation.
  - Assisting with implementation of books and records frameworks compliant with CFTC recordkeeping requirements.

### Regulatory Capital & Financial Compliance
- Oversee the ongoing financial regulatory framework for the registered Swap Dealer, including:
  - Daily net capital / financial resource calculations in accordance with CFTC capital requirements.
  - Monitoring compliance with CFTC minimum capital thresholds.
  - Preparation and review of monthly and quarterly regulatory filings.
  - Maintaining regulatory books and records.
  - Establishing financial regulatory policies and procedures.
  - Supporting regulatory examinations and inquiries from the CFTC and NFA.
  - Coordination with external auditors and internal audit.

### Regulatory Reporting
- Lead the preparation and submission of required financial reports, including:
  - Monthly and quarterly Swap Dealer financial and regulatory filings.
  - Financial schedules required by CFTC and NFA.
  - Internal reporting of regulatory capital and financial resources.
  - Coordinate responses to regulatory inquiries and examinations.
  - Maintain reporting calendars and regulatory submission processes.

### Controls & Governance
- Develop and maintain internal controls around regulatory capital and reporting.
- Ensure compliance with CFTC and NFA financial requirements.
- Assist with implementation of risk management and financial monitoring frameworks.
- Partner with operations, compliance, and treasury to ensure accurate reporting.
- Establish and improve reporting workflows and strengthen documentation.
- Support regulatory exams and internal audits.

### Crypto & Digital Asset Derivatives
- Support the financial oversight of crypto-linked swap activity, including:
  - Designing financial controls and reporting frameworks for digital asset derivatives.
  - Monitoring capital implications of crypto-based swap exposures.
  - Ensuring appropriate accounting and regulatory treatment of crypto-related derivative transactions.
  - Supporting our broader strategy in digital asset markets and derivatives infrastructure.
  - Coordinating with Risk, Treasury and the Business on margin, collateral, and liquidity management for crypto derivatives.

## Required Qualifications
- 8–15+ years of experience in financial services, regulatory finance, or broker-dealer / derivatives finance. Ideally with a Series 27.
- Strong experience with regulated derivatives businesses.
- Direct experience with CFTC, NFA, broker-dealer, or swap dealer regulatory frameworks.
- Expertise in regulatory capital calculations and financial reporting.
- Deep understanding of OTC derivatives markets and swap products.
- Experience building or operating finance functions within regulated entities.

## Preferred Qualifications
- Digital asset experience:
  - Experience with digital asset markets, crypto derivatives, or digital asset trading infrastructure.
  - Familiarity with crypto swaps, perpetuals, or other digital asset derivative products.
  - Understanding of margining, collateral, and risk management in crypto derivatives markets.
- Experience with SEC Rule 18a-1 / Security-Based Swap Dealer capital requirements.
- Experience implementing regulatory frameworks from scratch.
- Strong knowledge of U.S. GAAP financial reporting.
- Experience in multi-entity financial services environments.

## Compensation
- Base Salary Range: $160,000-$215,000 (does not include bonuses or equity).
- Competitive compensation packages, company equity, 401k matching, gender neutral parental leave, full medical, dental and vision insurance.
**Apply:** https://hotfix.jobs/jobs/director-swap-dealer-regulatory-finance-at-clear-street-f4140eab-58f6-481c-97fb-b3ec5e41905a
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