Description
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
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
