Broker Dealer Accounting Manager

Overview

• Manage accounting operations for regulated financial services clients, ensuring compliance with industry standards and regulations.
• Lead financial reporting processes, including preparation of monthly financial statements and regulatory filings.
• Oversee general ledger activities, journal entries, and account reconciliations to maintain accurate financial records.
• Perform net capital calculations and assist clients with regulatory exams and annual audits.
• Collaborate with clients to optimize financial processes and ensure compliance with US GAAP standards.
• Provide leadership and mentorship to accounting staff, fostering professional growth and development.
• Support clients with QuickBooks and Excel-based financial operations and reporting.
• Contribute to the firm's reputation for excellence in financial services accounting and consulting.

Key Responsibilities & Duties

• Perform functions as registered FinOp for broker-dealer clients, ensuring regulatory compliance.
• Supervise staff and oversee client accounts, ensuring accurate and timely financial operations.
• Prepare monthly/quarterly FOCUS reports and calculate net capital requirements.
• Assist clients with annual certified audits and regulatory examinations.
• Maintain clients’ general ledger, including bank reconciliations, payroll processing, and depreciation.
• Prepare annual financial statements and footnotes, ensuring accuracy and compliance.
• Collaborate with clients to improve financial processes and ensure adherence to industry standards.
• Provide expertise in QuickBooks and Microsoft Excel for efficient financial management.

Job Requirements

• Bachelor's degree in Accounting or related field; CPA license preferred.
• Active Series 27 FinOp license preferred; willingness to obtain within one year required.
• Minimum of 5 years of experience servicing US broker-dealers/investment advisers.
• Proficiency in QuickBooks and Microsoft Excel; solid knowledge of US GAAP.
• Strong communication skills, both verbal and written, for client interactions.
• Ability to manage others, meet deadlines, and oversee complex financial operations.
• Experience with regulatory filings and compliance requirements for financial services clients.
• Self-starter with reliable follow-through and commitment to excellence.