Regulatory Controller

Title: Regulatory Controller

Location: Chicago, IL (Hybrid)

Our client is seeking a Regulatory Controller to serve as a key member of its North American finance function. This role contributes to ensuring the accuracy of financial reporting data, supporting consolidation activities, and providing analytical and technical insight to broader finance stakeholders. The position will be instrumental in enhancing the firm’s regulatory reporting framework and may also support other areas within Finance as needed.

The organization operates across global markets with extensive access to listed and OTC venues. Its infrastructure, market presence, subject matter expertise, and technology platform provide broad access to execution tools, analytics, data, and research-driven insights.

Primary Responsibilities

• Support senior finance leadership by establishing, reviewing, and maintaining sound financial policies and controls.
• Oversee compliance with periodic regulatory reporting obligations related to derivatives clearing operations, including preparation and submission of statutory or regulatory filings.
• Contribute to the onboarding or integration of new products, workflows, or processes into the financial reporting environment.
• Implement and maintain effective control procedures, including those aligning with internal control standards and external reporting expectations.
• Assist with annual audit processes by preparing required reports, coordinating requests, and facilitating information flow to external auditors and corporate leadership.
• Monitor and review cash balances, and ensure timely completion of reconciliations.
• Provide analysis, interpretation, and communication of financial and regulatory metrics to senior management, highlighting emerging risks or compliance issues.
• Oversee, develop, and mentor support staff.
• Maintain confidentiality and protect sensitive financial data.
• Review and challenge account reconciliations, ensuring accuracy and legitimacy of balances.
• Support operational excellence by contributing to process improvements as needed.
• Ensure adherence to applicable regulatory requirements governing the firm’s operations.
• Maintain compliance with internal risk frameworks, reporting protocols, and governance expectations.
• Demonstrate leadership, professional ethics, and alignment with stated organizational standards.
• Comply with internal policies, escalate potential risks, and contribute to ongoing risk management efforts.
• Perform additional responsibilities as assigned.

Required Skills & Experience

• Minimum of 5 years’ experience in the listed derivatives industry, preferably within a Futures commission Merchant, other futures registrant or regulatory agency
• Working knowledge of applicable regulatory frameworks, reporting expectations, and oversight bodies.
• High level of accountability, organization, accuracy, and written communication ability, with proven success in fast-paced settings.
• Expertise in Microsoft Office; advanced Excel proficiency is strongly preferred.
• Strong analytical capabilities with sound judgment in highly governed environments.
• Solid technical accounting skills and willingness to dive into complex issues.
• Proven ability to work within collaborative teams, engage cross-functionally, and support shared deliverables.
• Experience within regulated financial environments and familiarity with associated risk controls and compliance expectations.
• Excellent written and verbal communication skills.
• Experience with enterprise accounting platforms (e.g., PeopleSoft, Oracle, or similar systems).
• Background in financial control or regulatory accounting roles within a derivatives-focused organization is preferred.
• Experience in preparing audited financial statements under U.S. GAAP.
• Demonstrated history of process optimization and contributing meaningful improvements.
• Bachelor’s degree required; advanced degree preferred.
• Series 27 or 99 required