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Finance Specialist
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-09-16
Listing for:
Harrington Starr
Full Time
position Listed on 2026-09-16
Job specializations:
-
Accounting
Financial Compliance, Financial Reporting -
Finance & Banking
Financial Compliance, Financial Reporting
Job Description & How to Apply Below
Entity Controller / Financial & Operations Principal
A leading, technology-driven financial markets business is looking for an experienced Entity Controller / Financial & Operations Principal to take ownership of financial reporting, regulatory compliance and audit management for one or more registered broker-dealer entities.
The RoleYou will be responsible for the financial control and regulatory reporting of assigned broker-dealer entities, with significant exposure to senior stakeholders, auditors and regulators.
Key responsibilities include:- Own the general ledger close process and financial reporting for assigned broker-dealer entities, ensuring accuracy and compliance with US GAAP
- Act as the primary liaison with external auditors across annual audits, quarterly reviews and special engagements
- Manage audit requests, walkthroughs, issue resolution and remediation
- Support FINRA and SEC examinations, regulatory enquiries and ongoing correspondence
- Prepare and review regulatory filings, including FOCUS Reports and Net Capital (Rule 15c3-1) calculations
- Maintain and enhance dimensional reporting structures within Sage Intacct
- Partner with Product Control, Accounts Payable, Payroll and wider Finance teams to ensure accurate books and records
- Work closely with Technology, COO, Treasury and Risk to assess the financial impact of trading, funding and corporate activities
- Lead technical accounting research and documentation relating to new products and regulatory developments
- Design and maintain robust internal controls over financial reporting
- Identify opportunities to improve and automate the close, reconciliation and regulatory reporting processes
We're looking for someone with strong broker-dealer accounting and controllership experience who is comfortable operating in a sophisticated capital markets environment.
You should have:- 5+ years' progressive accounting/controllership experience
, ideally within a broker-dealer, financial services or capital markets environment - Significant experience working with broker-dealer financial reporting and accounting
- Experience managing external auditors and supporting FINRA/SEC regulatory examinations
- Strong knowledge of FOCUS reporting and SEC Rule 15c3-1 Net Capital
- Series 27 qualification, or the ambition to obtain it
- Strong understanding of US GAAP
, particularly broker-dealer and financial instruments accounting - Bachelor's degree in Accounting, Finance or a related discipline; CPA is preferred
- Hands-on experience with Sage Intacct
, including chart of accounts and dimensional reporting - Additional FINRA licences such as Series 99
- Experience with ERP implementations or system migrations
- Experience with AP and expense automation platforms such as Airbase or Brex
- Experience working within a multi-entity parent/subsidiary structure
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