Lead monthly, quarterly, and annual close processes for both broker-dealers.
Oversee preparation and review of GAAP financial statements and related disclosures.
Manage internal and external audits.
Ensure accurate accounting for trading, underwriting, securities financing, advisory, and commission-based activities.
Maintain strong internal controls, accounting policies, and financial reporting governance.
Provide accounting leadership for new products, business growth initiatives, and acquisitions.
Lead and develop accounting professionals while fostering a culture of accountability and continuous improvement.

Bachelor's degree in Accounting or Finance.
Significant broker-dealer accounting and financial reporting experience.
Strong knowledge of U.S. GAAP, financial instruments, and broker-dealer operations.
Experience managing PCAOB audits and audited financial statements.
Working knowledge of SEC Rule 17a-5, SEC Rule 15c3-1, and SEC Rule 15c3-3.

Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Controller – Capital Markets, Brokerage

Key skills