Controller / FINOP
About
Our client is a technology-focused market maker and broker-dealer that provides liquidity, electronic execution, capital markets advisory, and NYSE designated market-making services to institutional investors, public companies, and financial institutions worldwide. Leveraging proprietary trading technology and deep market expertise, the firm plays a significant role across equities, ETFs, fixed income, and other asset classes.
Responsibilities
- Act as a key financial steward for regulated broker-dealer entities, helping ensure the organization maintains a strong financial and compliance posture.
- Provide oversight of accounting activities, broker-dealer regulatory requirements, Net Capital Rule 15c3-1 compliance, and reporting obligations across multiple legal entities.
- Support the organization's readiness for internal and external reviews by coordinating with business leaders and maintaining appropriate documentation and controls.
- Partner with stakeholders across trading, operations, treasury, risk, and technology to evaluate business activity and its impact on financial and operational processes.
- Research and interpret evolving accounting guidance, industry developments, and regulatory matters to support informed decision-making.
- Identify opportunities to enhance reporting capabilities, strengthen workflows, and improve the reliability of financial data.
- Contribute to strategic initiatives involving process optimization, systems enhancements, and operational scalability.
Qualifications
- At least five years of experience gained within broker-dealer, capital markets, trading, or broader financial services organizations.
- Understanding of securities industry regulations, regulatory capital concepts, and statutory reporting requirements.
- Experience working alongside auditors, compliance teams, examiners, or other third-party oversight groups.
- Strong foundation in accounting and financial analysis, with the ability to assess complex business activities and transactions.
- Bachelor's degree in Accounting, Finance, Economics, or a related discipline; professional certifications such as CPA or other FINRA registrations are beneficial.
- Series 27 Required
FAQs
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