REMOTE - Controller with Broker-Dealer experience and Series 27 ($220-$250K)

• The hiring team prefers a candidate live in the Eastern or Central Time Zones

• Our customer is a financial technology company providing transformative market-based solutions for companies, entrepreneurs, and retail & institutional investors. They work with companies to create innovative solutions and products for   primary raises, recapitalizations, and secondary trading.
• Currently seeking a talented and experienced Controller with Broker-Dealer experience and Series 27 license to join our growing team.

• The Controller will play a crucial role in maintaining the financial integrity and reporting accuracy of the firm by ensuring that the firm complies with regulatory financial filing requirements. This position requires a deep understanding of broker-dealer operations, financial reporting, and regulatory compliance. The Controller will supervise the accounting team and report directly to the Chief Financial Officer.

• Assist and coordinate the preparation of monthly, quarterly, and annual management and quarterly GAAP consolidated financial statements.
• Perform day-to-day accounting tasks, including maintaining the general ledger.
• Collaborate with the accounting team to prepare and file financial and operational reports, such as FOCUS reports, as required by Series 27 license.
• Assist in ensuring adherence to SEC, FINRA, and other regulatory financial requirements in broker-dealer operations.
• Work closely with internal and external auditors during financial audits and reviews.
• Liaise with regulatory bodies for audits, examinations, and inquiries related to financial reporting.
• Stay updated on industry trends and changes in accounting regulations to ensure compliance.
• Provide training to staff on financial reporting best practices and regulatory requirements as they relate to financial filings.
• Improve treasury functions.

• Active Series 27 is mandatory.
• Candidate MUST know NetSuite and be comfortable with it.
• Experience with Focus Reports for FINRA and the filings that come with it. 
• Leadership/Management skills - someone who can be the CFO’s right hand person, who will take ownership, manage the team, mentor when needed and build a strong team beneath them. We need this person to run the show with or without the CFO present.
• Minimum of 5 years of experience in financial roles within a broker-dealer environment.
• Excellent understanding of SEC, FINRA, and other financial industry regulations related to financial reporting.
• Intermediate to advanced knowledge of GAAP accounting principles and practices.
• Experienced in MS Excel
• Strong analytical, critical thinking and quantitative skills, attention to detail, and ability to work in a results-driven mindset and a high sense of urgency.
• Ability to work independently with minimal supervision.
• Excellent oral and written communication abilities.
• Impeccable analytical and organizational skills.

• updated resume
• required compensation
• preferred contact information
• availability

Salary : $220,000 - $250,000