Broker-Dealer Controller

New York, New York • $130,000-$160,000

About the Company:

Our client is a diversified financial services firm looking for a controller to join their broker-dealer team in NY.



  • Assist in the coordination, preparation, and management of our timely month-end close
  • Coordinate with operations & middle office to ensure back-office settlement system is in line with books and records; solve up-stream challenges to alleviate the burden on month-end close
  • Review month-end balance sheet & income statement for respective product areas ensuring product controllers reconciliations are accurate with respect to correct GAAP & regulatory treatment
  • Serve as the point individual for back-office settlement system migration
  • Heavily liaise with all external & internal audit counterparts; responsible for efficiently driving audits to completion
  • Analyze financial information with a key focus on control and compliance and addressing new requirements, including new reporting alongside accounting policy
  • Participate in the implementation of significant analytical and reporting processes, procedures, and systems using the company’s control framework



  • Bachelor’s Degree in accounting, Master’s degree a plus
  • 10+ year experience preferred
  • FINRA Series 27 preferred but not required
  • Working knowledge of broker-dealer regulatory environment is a must
  • CPA or CPA candidate a plus





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