About the Opportunity
Our client, a diversified financial services firm with a strong technology-driven trading business spanning multiple asset classes, is seeking an Entity Controller / Financial and Operations Principal in New York City to own financial reporting, regulatory compliance, and audit management for one or more of its registered broker-dealer entities. This role sits at the intersection of technical accounting, financial systems, and regulatory reporting, and will serve as the primary point of contact for external auditors and regulators. The ideal candidate brings deep broker-dealer accounting expertise, hands-on experience with modern general ledger systems, and the credibility to work directly with auditors, examiners, and senior stakeholders.
The annual base salary range is $150,000 to $230,000, with total comp up to $350,000. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.
Job Responsibilities
- Own the general ledger close process and financial reporting for one or more assigned broker-dealer entities, ensuring accuracy and compliance with US GAAP
- Serve as the primary liaison with external auditors across annual audits, quarterly reviews, and special engagements, managing audit requests, walkthroughs, and issue resolution
- Support regulatory examinations and routine correspondence with FINRA and the SEC, and assist in preparing regulatory filings including FOCUS Reports and Net Capital (Rule 15c3-1) computations
- Maintain and enhance dimensional reporting structures within the entity’s general ledger platform, aligning management reporting with regulatory and statutory requirements
- Partner across the finance organization — including product control, accounts payable, and payroll — to ensure accurate books and records, and collaborate with technology, operations, treasury, and risk teams to monitor the financial statement impact of trading, funding, and corporate activity
- Lead technical accounting research, conclusions, and documentation for new products and regulatory changes
- Design and maintain strong internal controls over financial reporting, and drive process improvement and automation across the close, reconciliation, and reporting cycle
Job Requirements
- Minimum 5 years of progressive accounting/controllership experience, with significant time at a broker-dealer, financial services, or capital markets firm, or at a public accounting firm focused on broker-dealer audits
- FINRA Series 27 (Financial and Operations Principal) licensed or actively working toward licensure
- Direct, hands-on experience managing external audit relationships and regulatory examinations (FINRA/SEC)
- Strong working knowledge of broker-dealer regulatory frameworks, including FOCUS reporting and SEC Rule 15c3-1 (Net Capital)
- Bachelor’s degree in Accounting, Finance, or a related field; CPA preferred
- Deep knowledge of US GAAP as applied to broker-dealer and financial instruments accounting (ASC 320, ASC 321, ASC 830, and related guidance)
- Excellent communication skills and executive presence, comfortable presenting to senior management, auditors, and regulators
- Strong project management skills, able to manage competing deadlines across close, audit, and regulatory cycles
- Hands-on experience with modern cloud-based general ledger systems (e.g., Sage Intacct), including chart of accounts setup and dimensional/departmental reporting, is a plus
- Additional relevant FINRA licensing (e.g., Series 99) is a plus
- Experience with ERP implementations or system migrations is a plus
- Experience with AP/expense automation platforms is a plus
- Prior experience in a multi-entity, parent/subsidiary corporate structure is a plus
