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.