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Role Description

This role sits at the intersection of accounting, treasury, and regulatory financial operations, supporting the build-out of a newly licensed Futures Commission Merchant (FCM). You will help design and scale financial infrastructure in a federally regulated environment, working closely with finance leadership, compliance, and operations.

We are seeking a strong regulatory accounting professional — ideally with experience in a CFTC-regulated FCM, SEC-registered broker-dealer, or similar regulated financial institution — who understands capital rules, customer protection frameworks, and financial regulatory reporting.

What You’ll Do

• Lead FCM accounting operations, owning day-to-day execution while helping design and scale compliant financial processes as the business grows.
• Manage the month-end, quarter-end, and year-end close processes, including preparation and review of Form 1-FR-FCM filings and supporting schedules.
• Prepare and review daily Adjusted Net Capital calculations and customer fund segregation calculations in accordance with CFTC requirements.
• Manage Segregated Investment Detail Report (SIDR) preparation and support monitoring of the firm’s residual interest in customer accounts.
• Maintain and enhance the firm’s general ledger, sub-ledgers, and recordkeeping practices to meet regulatory record retention and audit standards.
• Support annual PCAOB-registered audits and participate in NFA audits and DSRO examinations, including coordinating audit requests and documentation.
• Oversee daily trade, position, and cash reconciliations, ensuring timely investigation and resolution of breaks.
• Partner with Finance leadership to document, implement, and continuously improve core accounting policies and procedures, including Capital and Segregation.
• Help design and maintain processes to support required tax reporting, including IRS Form 1099-MISC.

Qualifications

• 5–7+ years of progressive accounting experience within a regulated financial institution (FCM, broker-dealer, clearing firm, bank, or similar).
• Active CPA license (required).
• Strong understanding of regulatory capital frameworks (CFTC Net Capital or SEC Rule 15c3-1).
• Familiarity with customer protection regimes (CFTC segregation or SEC Rule 15c3-3 reserve requirements).
• Experience preparing or supporting regulatory financial filings (Form 1-FR-FCM, FOCUS reports, capital computations, reserve/seg calculations, etc.).
• Bachelor’s degree or higher in Accounting or Finance.
• Experience operating within a strong internal control environment subject to regulatory oversight.
• Strong analytical skills, with the ability to interpret complex financial data, spot issues, and communicate insights clearly.
• Detail-oriented, highly accurate in work, and comfortable operating in a control-heavy environment.
• Effective communicator who can work cross-functionally and explain financial concepts to non-finance partners.
• Ability to manage competing priorities well and thrive in fast-paced, evolving environments.
• Proficient with Microsoft Excel and experienced with accounting ERP systems such as Sage, NetSuite, or similar.

Requirements

• Direct FCM experience and familiarity with CFTC financial reporting requirements (even better).
• Experience interacting with NFA, CFTC, FINRA, or SEC exam teams (even better).
• Experience supporting a Financial Principal or FINOP function (even better).
• Experience helping launch or scale a newly regulated entity (even better).
• Background in a high-growth fintech or startup environment (even better).

Benefits

• Unlimited PTO for full-time employees (extremely flexible with the exception of the first few weeks before & into the NFL season).
• 16 weeks of fully paid parental leave.
• Home office stipend.
• A connected virtual-first culture with a highly engaged distributed workforce.
• 5% 401k match, FSA, company paid health, dental, vision plan options for employees and dependents.