Controller, Finance & Banking, Financial Reporting

A financial services enterprise that owns and operates a network of industry-leading firms that empower independent financial advisors 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.

• 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
• 3 –8 years of accounting or finance experience within Financial Services, Wealth Management, or RIA and Broker-Dealer environments
• Strong knowledge of broker-dealer reporting, FOCUS reports, Client 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