Controller

Reporting to the Director of Finance, the Controller is responsible for overseeing all accounting activities, accounting controls and procedures, and preparation of interim and year-end financial statements.

Requirements

Essential Duties and Responsibilities

• Prepare monthly and annual financial statements in a timely manner

• Direct all accounting functions to include oversight of receivables, payables, payroll, commissions and financial reporting and maintaining the firm’s accounting practices and procedures

• Prepare journal entries and analysis of accounts

• Complete bank and trading account reconciliations

• Coordinate annual audit performed by independent, external auditors

• Perform monthly analysis of key income statement and balance sheet items investigating all significant variances

• Maintain chart of accounts

• Work with Director of Finance to create budgets and implement budget/cost control procedures

• Create and distribute financial and key metric reporting

• Play a critical role in budgeting, auditing or inquiries, taxes, monthly/quarterly regulatory filings

• Respond to Requests for Information (RFI’s) from potential clients

• Work with Director of Finance on special projects

• All other duties as assigned

Management & Decision Making Responsibilities

• Manage staff accountant and clerical support personnel
• Manage FINRA/SEC Financials

• Manage monthly accounting close and timely and accurate completion of firm’s monthly FOCUS filings with SEC

Knowledge, Skills & Abilities Requirements

• Strong computer skills and demonstrated proficiency with spreadsheets

• Experience with regulatory filings

• Strong knowledge of accounting principles and basics

• Ability to prioritize multiple tasks and meet timelines

• Comfortable interacting with internal and external customers

• Experience completing Minority/MBE Business applications and RFI’s a plus

• Experience with QuickBooks a plus

• Programming experience a plus

Education & Work Experience

• Bachelors degree in Accounting, Finance, or related discipline

• Minimum of 5 years of progressively responsible experience in financial accounting and reporting

• Prior experience at a broker/dealer or in the financial services industry strongly preferred

Required Licenses & Certificates

• Series 27

• CPA Strongly Preferred

Benefits

• Employee Profit Sharing Plan
• 401K Retirement Plan with Company Match
• Medical, Dental & Vision Insurance Plans
• Group Whole Life and Term Life Insurance Plans
• Short Term & Long Term Disability
• Pre-Tax Plans (Dependent Care, FSA, HSA, Transit & Parking)
• Critical Illness & Accident Plans
• Employee Assistance Program