Controller - Capital Markets & Brokerage

Job Description:

Reporting directly to the Broker‑Dealer CFO, the Broker‑Dealer Controller is a senior finance leader responsible for operational accounting, financial reporting, and internal controls for an introducing retail brokerage broker‑dealer and a self‑clearing capital markets broker‑dealer.

• 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.

• Experience supporting both introducing and self‑clearing broker‑dealers.
• Background in fixed‑income trading, underwriting, repo/reverse repo, or securities financing activities.
• Acquisition and integration experience.
• Exposure to equity trading, equity underwriting, or prime brokerage businesses.
• CPA preferred.
• FINRA License Series
  27.

This role requires working from a U.S. Bank location three (3) or more days per week. If there is anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

• 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

Benefits also include incentive and recognition programs, equity stock purchase, 401(k) contribution and pension (subject to eligibility).

Pay Range: $ - $.

U.S. Bank is an equal‑opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. We will also consider qualified applicants with arrest or conviction records for employment.

U.S. Bank participates in the U.S. Department of Homeland Security E‑Verify program in all facilities located in the United States and certain U.S. territories.