Controller, Finance & Banking, Accounting & Finance

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.

• 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

• 5–8 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