Financial Analyst – Finance and Risk

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Great opportunity to directly support the Head of Finance and Risk in a highly entrepreneurial investment banking environment!

Company Information:

New York based FINRA registered broker-dealer and Capital Markets Firm that provides equity execution services to US Institutional Investors

Job Description:

• Management of all regulatory reporting and financial statements for Broker-Dealer in compliance with US GAAP, SEC, and FINRA regulations
• Management of preparation and filing of monthly and quarterly FOCUS, SSOI, and Form Custody reports, including the net capital computation and compliance with rule 15c3-1
• International coordination with the parent company in all financial matters, including audit coordination
• Ownership of P&L-related items, including planning, forecasting, approving revenue and expenses, analysis of results, challenging specific items, and communication to stakeholders
• Management of daily, weekly, and monthly revenue recognition and reconciliation
• Accounting and Administration regarding equity trading and equity capital markets (ECM), including risk control and reconciliation with clearing company
• Oversee expenses, invoicing, vendor management, and internal cash reporting
• Development and implement MIS to provide transparency into Institutional Brokerage, Research & ECM business performance

Requirements / Qualifications:

Strong accountant with experience or strong interest in the financial industry.

• Certified Public Accountant (CPA)
• Background in preparing financial statements under US GAAP
• Interest in the financial industry

Knowledge of Broker-Dealer (15c3-1) & IB accounting practices
• Experience of Product Control processes and Valuation Risk gained working within Audit or Product Control of a globally operated bank
• Experience in dealing with examinations, audits, and inquiries from regulatory authorities
• Experience with Concur and Sage is a strong plus

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