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

Compensation:

Salary - $80,000 - $120,000

Bonus - Subjective. Up to 10%

The salary range listed is the pay scale the firm, in good faith, affirms is the remuneration for the position at the time of this posting. The Company may ultimately pay more or less than the posted range, and the range may be modified in the future. The salary within the pay range will be based on several factors depending on business or organizational needs. The salary and availability of any bonus, commission, or other form of compensation will remain in the Company's sole discretion and may be modified at the Company’s sole discretion, consistent with the law.