The Controller will be responsible for overseeing all accounting financial reporting, financial planning and analysis, and financial controls functions, as well as for leading and managing the accounting team and managing all aspects of the audits and external consultants. The Controller will be responsible, under the direction of the CFO, for strategic leadership of key projects. The Controller will report to the CFO.

The ideal candidate has experience in accounting and finance in a clearing firm or a FINRA regulated financial business.  The Controller will need a solid accounting and financial reporting base and understanding of internal controls, and good communication skills, as the job requires the Controller to regularly communicate with the firm’s functional leaders, auditors and regulators, as well as corporate accounting at the parent group. 

Job Responsibilities:

  • Lead accounting team members by providing subject matter expertise, coordinating special projects, cross training and other areas as needed
  • Oversee all financial reporting and accounting processes, including accounts payable, payroll, financial review and analysis,  account reconciliations and accruals and overall maintenance of the Company's accounting records
  • Responsible for maintaining and enhancing proper internal financial controls and processes. Drive process documentation and enhancement reviews including writing, reviewing and maintaining relevant standard operating procedures
  • Responsible for overseeing broker-dealer financial regulatory reporting: including monthly FOCUS report, capital computations, segregation and secured reporting, weekly customer reserve and other related computations
  • Responsible for preparation of annual budget including quarterly re-forecasts as needed, as well as  management reporting including monthly budget to actuals and full year financial forecasts.
  • Remain abreast of changes in the regulatory and GAAP frameworks that drive the regulatory reporting and financial functions
  • Professional customer service orientation to manage and drive positive outcomes with auditors, regulators, customers, and other counterparty relationships
  • Maintain a strong management style that creates incentives for the broader team to drive hard and perform
  • Attention to consistent improvement around internal controls
  • Consistently review projects and plans to proactively manage department growth
  • Consistently strengthen the processes and outcomes of general ledger and accounting systems

Job Qualifications:

  • CPA or MBA
  • 10 years’ experience, including 5+  in a leadership role preferred
  • Current Series 27 licensure, or, willingness to pursue
  • An ability to communicate effectively at a detailed level with the organization and quickly grasp their feedback
  • Ability to build and maintain positive and effective external relationships with auditors, regulators, and other counterparty relationships
  • Well organized and detail oriented
  • An aggressive self-starter who is comfortable with a fast-paced, start-up environment, where flexibility and team effort are essential
  • The commitment to their own growth and the development of others around them
  • A direct, honest, open and" straight-shooting" personal manner with the courage and honor to meet their commitments and communicate openly about challenges
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