Director of Accounting

We’re partnering with a global financial services firm hiring an Accounting Director, Broker-Dealer Finance and Operations Principal (Fin Op) to join their team. This role will report directly to the Controller and will be responsible for regulatory financial reporting and compliance for U.S. regulated entities, including broker-dealers.

• Prepare, review, and submit all required U.S. regulatory returns and filings.
• Collaborate with Legal and Compliance on regulatory audits and examinations.
• Partner with Treasury on liquidity, funding, capital, and clearing/trading deposits.
• Oversee net capital calculations for regulatory requirements.
• Prepare annual audited financial statements for U.S. regulated entities and manage auditor relationships.
• Develop and maintain policy and procedure documentation related to regulatory reporting.
• Stay current on evolving regulations, interpret impact, and implement necessary changes.
• Serve as subject matter expert on broker-dealer regulatory accounting and reporting.
• Collaborate across Finance, Treasury, Risk, and Compliance on special projects and strategic initiatives.

• 8+ years of experience in regulatory accounting or audit within financial services, including experience as a Fin Op.
• Series 27 license required.
• Bachelor’s degree in Accounting or related field.
• Strong knowledge of GAAP, SEC, and FINRA regulations.
• Proven track record of managing regulatory filings and compliance processes.
• Excellent communication, problem-solving, and organizational skills.
• Ability to thrive in a fast-paced environment and adapt to change.
• Based in Chicago with willingness to work in-office part of the week.