Broker Dealer Accountant
EVP Finance & Operations
(Additional Openings: Broker Dealer Accountant, Assistant Controller)
Location: New York City
Job Type: Hybrid
Salary: $200-240k
Client/Job Summary:
Our client is a broker dealer looking to fill a few roles within their accounting and finance department. The EVP Finance & Operations role will report to the CEO and involves overseeing the brokerage operations, including daily operations, financial reporting, monthly, quarterly, and annual monthly closes, and regulatory compliance.
Key Responsibilities:
- Oversee daily operational activities.
- Prepare financial statements.
- Month-, quarter-, and year-end close processes.
- Work with the CFO for financial analysis and reporting.
- Tax planning and compliance.
- Financial reporting and regulatory compliance including FOCUS reports, Net Cap calculations, SSOI, SIPC, etc.
- Be the point of contact for audits and FINRA exams.
Key Qualifications:
- 10+ years of experience as a FinOp at a broker dealer in operations and regulatory reporting.
- Bachelor's degree in finance or accounting, CPA preferred.
VP/Assistant Controller ($180-220k)
Qualifications: Series 27 license, worked within accounting/finance at a broker dealer
Broker Dealer Accountant ($140-180k)
Qualifications: Experience with broker dealer accounting, wants to get Series 27 license, opportunity for operations experience alongside accounting
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