Broker Dealer Accountant

New York, New York • $170,000-$180,000

About the Company:

Our client is a diversified financial services firm offering investment banking, market research, sales and trading, and investment management. The Broker Dealer Accountant will be part of the legal entity control division and will be responsible for the reporting of the firm’s GAAP books, records and regulatory filings for the U.S. broker-dealer.



  • Assist in the coordination, preparation, and management of the timely month end close
  • Coordinate with operations & middle office to ensure the back-office settlement system is line with books and records
  • Review month end balance sheet & income statement for respective product areas ensuring product controllers reconciliations are accurate with respect to correct GAAP & regulatory treatment
  • Oversee preparation of financial reporting package to facilitate senior management review
  • Accountable for preparation of semi-annual U.S. GAAP financials and associated footnotes
  • Responsible for efficiently driving audits to completion
  • Participate in the implementation of significant analytical and reporting processes, procedures and systems using the firm’s control framework



  • Bachelor’s degree in accounting required
  • 8-10 years of related experience
  • Knowledge of broker-dealer regulatory environment required
  • Understanding of public company Sarbanes-Oxley controls


Salary Range:




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