Accounting Manager / FINOP

Accounting Manager / FINOP

About the Role

Boutique Investment Bank seeks an Accounting Manager / FINOP responsible for the firm's financial and regulatory reporting duties, as well as drafting financial statements for approval by the Head of Finance and Risk.

This will include:

• Management of all regulatory reporting and financial statements for Broker-Dealer in compliance with US GAAP, SEC, and FINRA regulations
• Management of preparation and filing of monthly and quarterly FOCUS, SSOI, and Form Custody reports, including the net capital computation and compliance with rule 15c3-1
• Ownership of P&L-related items, including planning, forecasting, approving revenue and expenses, analysis of results, challenging specific items, and communication to stakeholders
• Management of daily, weekly, and monthly revenue recognition and reconciliation
• Accounting and Administration regarding equity trading and equity capital markets (ECM), including risk control and reconciliation with clearing company
• Oversee expenses, invoicing, vendor management, and internal cash reporting
• Development and implement MIS to provide transparency into Institutional Brokerage, Research & ECM business performance

Preferred Qualifications:

• CPA with 10 years’ experience in the financial industry
• Background in preparing financial statements under US GAAP
• Series 27 Finance and Operations Principal (FINOP) license highly preferred
• Knowledge of Broker-Dealer (15c3-1) & IB accounting practices
• Experience of Product Control processes and Valuation Risk gained working within Audit or Product Control of a globally operated bank
• Experience in dealing with examinations, audits, and inquiries from regulatory authorities
• Experience with Concur and Sage is a strong plus

Qualified candidates should send resumes to ws@rockwood-search.com. Please put your Name and “Accounting Manager / FINOP” in the subject line and attach your resume in word or PDF document form. Also include contact information, salary requirements and any applicable information in the body of the email.