Assistant Controller - Broker Dealer

Position Overview: The candidate must be comfortable working in a rapidly changing environment with an ability to deliver high quality work in collaboration with colleagues in different offices and service providers in different time zones. Prepare journal entries and assist with the month-end close of a US broker-dealer, including the net capital calculation Review trading subledger and ensure accurate classification of P&L Assist in the preparation of annual financial statements and other regulatory filings including FOCUS reports, SIPC filings, and 17H reports. Implement systems, processes, and procedures to improve efficiency while maintaining adequate internal control environment Liaise with external auditors regarding financial reporting and timely issuance of financial statements Prepare monthly reporting files for management and other interested parties Compile information for due diligence requests from counterparties, assist with other ad hoc Demonstrate an understanding of relevant regulations and reporting requirements Required Qualifications: Experience working on a broker-dealer strongly preferred CPA preferred 5 – 8 years of experience with a mix of public & private accounting Exceptional analytical skills Strong attention to detail Team player with excellent communication skills Ability to multitask Highly organized The minimum base salary for this role is $120,000 if located in New York. This expectation is based on available information at the time of posting. This role may be eligible for discretionary bonuses, which could constitute a significant portion of total compensation. This role may also be eligible for benefits, such as health, dental, and other wellness plans, as well as 401(k) contributions. Successful candidates’ compensation and benefits will be determined in consideration of various factors.

The Assistant Controller will manage month-end closing processes, net capital calculations, and regulatory filings for a broker-dealer. They will also implement process improvements and liaise with external auditors to ensure accurate financial reporting.

Candidates should have 5-8 years of experience in a mix of public and private accounting, with a strong preference for broker-dealer experience. A CPA designation is preferred, along with exceptional analytical skills and the ability to work in a fast-paced, collaborative environment.

• Health insurance • Dental insurance • Wellness plans • 401(k) contributions • Discretionary bonuses

• OrganizationPreferred

Identified from the job description. Confirm important requirements above.

• Broker-dealer accounting
• Net capital calculation
• Financial reporting
• Regulatory filings
• FOCUS reports
• SIPC filings
• 17H reports
• Internal controls
• Journal entries
• Month-end close
• Analytical skills
• Communication skills
• Multitasking
• Organization
• Public accounting
• Private accounting
• Profit And Loss (P&L) Management
• Month-End Closing
• Analytical Skills
• Accounting
• Annual Reports
• Internal Controls
• Management
• Calculations
• Communication
• Due Diligence
• External Auditing
• Financial Statements
• Regulatory Filings
• Detail Oriented

• Finance & Accounting
• Management & Leadership
• Manager/Broker
• Assistant Controller
• Accountants
• Treasurers and Controllers
• Financial Managers

Minimum education

Professional degree

Minimum experience

5+ years

Posting language

English

Working hours

40 hours per week