FinOps Controller
Title: Sr. Financial Controller at a Broker Dealer
Salary: $225,000-250,000
Company Summary: Privately held investment and merchant bank operating as a full-service, middle-market investment bank based out of New York City. A rapidly growing firm with decades of experience in serving mid-sized corporations with an emphasis on transparent, strategic and personalized service. The firm is seeking to hire a Financial Controller to oversee all regulatory financial reporting and daily broker-dealer finance operations.
Key Responsibilities:
- Daily Net Capital calculations and ensure SEC compliance
- Prepare daily Securities Lending haircut calculations
- Complete bank reconciliations
- Calculate and submit FINRA TAF and Options Regulatory Fee
- Perform the weekly Customer Reserve computation
Qualifications:
- 10+ years of experience working at a brokerage firm
- Active Series 27 license
- Bachelor's degree
- Demonstrated ability to produce and review financial statements, perform variance analysis, and manage month-end close processes.
- Strong working knowledge of securities lending haircuts, FOCUS reporting, SIPC filings, and FINRA regulatory fee calculations (TAF, ORF).
If you're interested in the Financial Controller role, then please apply.
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