- Oversee all financial and regulatory accounting activities.
- Provide leadership and training to finance and accounting staff.
- Manage regulatory net capital computations and reporting, with a strong awareness of capital allocation and ability to forecast usage.
- Translate broker-dealer regulatory and business requirements into efficient and effective operating practices within the department.
- Perform financial analysis and prepare management reports for strategic planning.
- Provide guidance on complex regulatory or business finance and accounting issues.
- Interact with various teams to propose and execute improvements in information flow and project management between departments.
- Oversee all accounts payable, cash management and other transactional activities.
- Ensure the integrity of all accounting records including General Ledger, P&L, Income Statement and Balance Sheet reporting.
- Prepare and manage regulatory and financial audits.
- Manage banking relationships, investments, SIPC calculation and all other financial transactions.
- Oversee the firm's budgeting and forecasting process ensuring best practices are used.
- Bachelor’s or Master’s degree in Accounting or related field
- At least 7 years of experience in financial management, regulatory capital accounting and preparation of FOCUS reports.
- CPA Certification
- Series 27 strongly preferred
- Excellent communication and analytical skills