Controller
Posted
Our client is seeking a Controller to lead accounting, financial reporting, and regulatory operations for a growing Wealth Management and Broker-Dealer firm. This individual will oversee core accounting functions, ensure SEC and Client compliance, maintain internal controls, and provide financial support to leadership. The ideal candidate will have strong broker-dealer reporting experience and knowledge of net capital requirements.
Responsibilities Manage daily accounting operations including general ledger, AP/AR, payroll, fixed assets, and month-end close
Prepare monthly, quarterly, and annual financial statements in accordance with GAAP
Support budgeting, forecasting, and cash flow management
Develop financial reporting packages for leadership and stakeholders
Coordinate audits, tax filings, and regulatory examinations
Bachelor's degree in Accounting, Finance, or related field
58 years of accounting or finance experience within Financial Services, Wealth Management, or Broker-Dealer environments
Strong knowledge of broker-dealer reporting, FOCUS reports, and Client/SEC regulations
Experience with introducing broker-dealer structures and net capital requirements
Advanced GAAP and financial reporting knowledge
Strong Excel and accounting systems experience
Experience managing audits and regulatory reviews
