Financial Controller - Capital Markets
Job Description & How to Apply Below
A leading capital markets and broker-dealer platform is seeking a senior finance professional to serve as a key partner to executive leadership and oversee financial reporting, regulatory reporting, tax, treasury support, and finance operations. This highly visible role requires deep expertise in broker-dealer accounting, financial controls, regulatory filings, and capital markets operations.
The successful candidate will operate in a lean environment, partnering closely with senior leadership while maintaining hands-on involvement across accounting, regulatory, tax, audit, and treasury functions.
RESPONSIBILITIES
- Lead financial reporting, regulatory reporting, tax, and treasury support activities for a regulated broker-dealer entity.
- Prepare and review monthly and annual financial statements in accordance with IFRS and applicable regulatory requirements.
- Oversee regulatory filings and ensure compliance with broker-dealer, banking, and tax regulations.
- Serve as the primary liaison with regulators, internal auditors, and external auditors while coordinating audit activities and deliverables.
- Manage direct and indirect tax reporting, provisions, and compliance requirements.
- Partner with Accounting Policy, Financial Reporting, Product Control, Treasury, FP&A, and other finance teams on accounting and reporting matters.
- Strengthen internal controls, improve finance processes, and support operational effectiveness initiatives.
- Support treasury, capital management, and broader corporate finance activities.
- Mentor and develop finance team members while fostering a culture of accountability and continuous improvement.
- Bachelor's degree in Accounting, Finance, or a related field.
- CPA (Canada or U.S.) required.
- 8+ years of accounting, finance, regulatory reporting, or audit experience within financial services.
- Direct broker-dealer, capital markets, investment dealer, or banking experience required.
- Strong knowledge of regulatory reporting requirements, financial controls, and financial statement preparation.
- Experience with IFRS reporting and financial institution regulatory frameworks.
- Familiarity with direct and indirect tax reporting, audits, and treasury-related activities.
- Strong understanding of financial institution risk management, governance, and control environments.
- Excellent analytical, communication, and stakeholder management skills.
- Ability to operate effectively in a hands-on, lean, and fast-paced environment.
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