Broker Dealer Controller

View All Jobs >

Summary

The client, a leading-clearing proprietary broker-dealer, is seeking a Controller. Reporting to the CFO, this role is responsible for hands-on day to day accounting including, financial reporting, payroll, account reconciliations, vendor management, accounts payables/receivables, tax filings, and all other related accounting responsibilities and special projects.


Company Information:

Financial Services


Job Description:

• Under the direction of the CFO, work on day to day accounting responsibilities of self-clearing proprietary trading firm including but not limited to the following:
• Payroll processing and administration including: ADP Workforce Now Time & Attendance administration, new employee set-up, payroll audits, payroll tax reporting and reconciliations, etc.
• Ensuring accurate and timely completion of all accounting reports and financials including FOCUS filings.
• Responsible for monthly reconciliations and bookkeeping, prepare and submits wire requests as needed, and travel & entertainment expense oversight and accounting
• Actively ensuring the firm is in regulatory compliance with net capital requirements
• Has the ability to develop and maintain concrete accounting policies, processes and systems to ensure optimal controls for the company
• Oversee the monthly close of the company books, the general ledger, and reporting of financial results
• Prepare weekly and monthly management financial health reports which will include, revenue/ expenses as well as financial comments with recommendations
• Has experience creating projections, rolling revenue calculations and Pro-Formas.
• Handle treasury functions for Firm and affiliates
• Coordination of audits and the establishment and constant improvement of accounting policies which will include the development of efficient and effective processes that also support key areas of the business as well as internal controls
• Work with upper management in identifying and resolving BD related financial issues and suggesting procedure changes as necessary
• Account Payables/Receivables accounting and expense allocations
• Assist in managing new and existing banking relationships and administration
• Assist in data gathering for all tax filings and annual audit support


Requirements / Qualifications:

Education and Technical Skills:
• Bachelor’s Degree required / CPA preferred
• Series 27 a plus
• Microsoft Dynamics GP a plus
• Previous experience in accounting function at a broker dealer, clearing firm, or financial services industry a plus
• QuickBooks or equivalent accounting platforms and advanced Excel skills required
• Prior Payroll experience preferred

Knowledge and Skills:
Minimum of 6+ years accounting experience
• Previous experience in accounting function at a broker dealer, clearing firm, or financial services industry a plus
• Experience as a broker-dealer FINOP professional
• ADP Workforce Now preferred
• An understanding of financial reporting systems, procedures, and controls
• Strong organizational skills, attention to detail and prioritization capabilities
• Demonstrated ability to manage multiple projects and adapt to change
• Strong analytical, critical-thinking and problem-solving skills
• Basic understanding of internal controls
• Ability to effectively communicate and interact with all levels of management and work in a team-oriented environment
• Ability to collaborate effectively with business partner

Direct Hire Positions    Back to Top