Broker Dealer, Financial Controller

Financial Controller – Broker-Dealer

Employment Type: Full-Time | Permanent

Position Summary

We are seeking an experienced Financial Controller to join our Finance & Accounting team. This role requires expertise in broker-dealer accounting, financial reporting, and regulatory compliance. The selected candidate will manage financial controls, reconciliations, audits, and reporting in accordance with US GAAP and IFRS standards.

Primary ResponsibilitiesFinancial Management & Reporting

• Perform revenue reconciliations and evaluate accounting controls.
• Oversee monthly financial reporting for the home office under US GAAP and IFRS.
• Manage 17a-5 and SOX audit processes, including invoicing, reconciliations, and control testing.
• Supervise daily and monthly P&L accounting, ensuring accuracy in client-specific desk reporting.
• Prepare ad-hoc financial reports and respond to management inquiries.

Regulatory Compliance & Auditing

• Ensure compliance with SEC and FINRA regulations, including 15c3-1 and 15c3-3 requirements.
• Maintain financial records and controls to meet regulatory standards.
• Support audits and coordinate with external and internal auditors.

Cross-Department Collaboration

• Act as a key liaison for projects involving the Holding company and its subsidiaries.
• Communicate financial concepts effectively to non-finance professionals.
• Work closely with trading, operations, and leadership teams to enhance financial processes.

Qualifications & CompetenciesIndustry Expertise & Experience

• At least 10 years of experience in broker-dealer securities accounting or financial operations.
• Strong understanding of Profit & Loss (P&L), Balance Sheets, and Cash Flow Statements.
• Experience working in a brokerage or trading environment is a plus.

Technical Proficiency

• Proficiency in accounting software such as SAGE or Inteliclear.
• Advanced Microsoft Excel skills for financial modeling and analysis.
• Ability to handle sensitive financial data with confidentiality and accuracy.

Regulatory & Compliance Knowledge

• Familiarity with SEC and FINRA regulations, including 15c3-1 and 15c3-3 compliance.
• Experience with SOX audit controls and financial reporting under regulatory standards.

Preferred Certifications

• Series 7, Series 27, or CPA certification (not required but preferred).

This position offers an opportunity to contribute to a dynamic financial team while ensuring regulatory compliance and operational excellence. If you have the experience and expertise to excel in this role, we encourage you to apply.

Job Type: Full-time

Pay: $150,000.00 - $175,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Application Question(s):

• Are you a US Citizen?
• Are you a Green Card Holder?
• What is your email address/email ID?
• What is your Current Location? Mention the location with zip code
• What would be your notice period if offered?
• What is your salary expectation for fulltime per annum?
• Are you actively employed in the broker-dealer role?

Experience:

• broker-dealer: 10 years (Preferred)
• US GAAP & IFRS: 10 years (Preferred)
• 15c3-1 and 15c3-3 regulations: 10 years (Preferred)
• securities accounting: 10 years (Preferred)
• 17a-5 and SOX Audit: 10 years (Preferred)

Ability to Commute:

• Hazlet, NJ 07730 (Preferred)

Ability to Relocate:

• Hazlet, NJ 07730: Relocate before starting work (Preferred)

Work Location: In person

Salary : $150,000 - $175,000