Controller / Director Of Compliance

Overview

• Lead accounting operations and SEC compliance for a dynamic wealth management firm.
• Provide strategic financial insights to support organizational growth initiatives.
• Collaborate with leadership to ensure operational efficiency and compliance.
• Manage financial reporting, budgeting, and internal controls processes.
• Ensure adherence to SEC regulations, including Form ADV filings.
• Support high-net-worth client accounting needs as part of Family Office Services.
• Contribute to special projects and implement new accounting systems.
• Work in a collegial culture with excellent benefits and growth opportunities.

Key Responsibilities & Duties

• Oversee daily accounting operations, including accounts payable and receivable.
• Prepare financial statements and manage cash flow projections.
• Ensure compliance with SEC regulations and maintain internal controls.
• Collaborate with compliance vendors for regulatory best practices.
• Advise on financial strategy and risk management to support growth.
• Assist with tax filings and partner reporting packages.
• Participate in special projects and implement new accounting technologies.
• Support high-net-worth client accounting needs within Family Office Services.

Job Requirements

• Bachelor’s degree in Accounting or Finance; CPA preferred.
• 7+ years of accounting and finance experience; wealth management familiarity is a plus.
• Proficiency in accounting software and financial modeling tools.
• Experience with SEC compliance and Form ADV filings preferred.
• Strong analytical skills with strategic and tactical management capabilities.
• Organized, detail-oriented, and capable of meeting deadlines independently.
• Exceptional communication skills and team-oriented mindset.
• Passion for continuous learning and professional growth.