Manager – Accounting

Manager – Accounting

Requirements

• Bachelor’s degree in Accounting or military experience
• At least 3 years of Accounting experience
• At least 3 years of broker dealer experience
• At least 2 years of experience in people management

Responsibilities

• Oversee monthly closes process
• Prepare internal & external financial statements and variance analysis
• Prepare regulatory filings (FOCUS reports, SIPC reports, etc.)
• Perform regulatory net capital computation and ensure compliance with regulatory guidance
• Responsible for monthly account reconciliations review
• Manage line of business incentive plans
• Coordinate various internal stakeholders (Operations, FP&A, business leaders) to ensure accurate reporting and adherence to regulatory guidance
• Review intercompany management fees
• Other broker-dealer accounting responsibilities as assigned
• Support external and internal audits as well as regulatory exams
• Develop team financial talent and bench-strength and manage employee development and training
• Participate in challenging project initiatives with the team
• Support automation and data transformation efforts
• Identify and drive process efficiencies
• Ability to adhere to strict deadlines for monthly closes and regulatory reporting
• Ability to manage complex financial, reporting and regulatory matters or processes
• Ability to develop, establish, and operate financial policies and procedures
• Due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
• Currently has, or is in the process of obtaining, a Series 27 Securities License with the expectation that license will be obtained within six months of hire

Preferred Qualifications

• Master’s degree in Finance or Accounting
• 5+ years of securities industry experience
• Financial Industry Regulatory Authority Series License 7,10, 24, 27, or a combination