Role details

Broker Dealer CAO/ Controller

New York   •  Permanent

Bullet points

  • My client is a leading bank and is recruiting a Broker Dealer Controller
  • FINOP Broker Dealer controller position available

About Our Client

Broker dealer arm of an International Investment Bank

Job Description

Our client is looking for a FINOP Controller to oversee their growing US broker dealer. The role will include the following key responsibilities:

* Deliver month and year end financial reporting for the legal entity under GAAP/IFRS

* Provide monthly p&l reporting and analytics for management reporting

* Advise businesses on US GAAP treatment and regulatory capital treatment of new products and business lines in the broker dealer and within non b/d subsidiary entities.

* Drive broker dealer finance process improvements across business, Operations (settlements), IT and business unit finance teams to enhance internal controls, data integrity and efficiency.

* Rationalize Legal Entities and merge several broker dealer entities

* Liaise with the tax department on transfer pricing and tax accounting for the broker dealer.

* Be the point person for FINRA audits, external audit and internal audit of the broker dealer.

* Manage a staff of 10

The Successful Applicant

Experience with a self clearing, Institutional broker dealer is essential - Products Include; Equity and Fixed Income Derivatives, Structured Products, Exchange Traded Derivatives and OTC derivatives.

*Experience with OTC clearing is preferred but not essential.

*Minimum 15 years accounting experience in financial services with an International Firm

*Significant exposure to audited financial statements, footnote disclosures and downstream exposure from that to US GAAP pronouncements. IFRS knowledge would be a plus.

*Excellent communication skills and ability to relate to all levels of staff.


* Series 27 active

* Experience in Regulatory Reporting, Financial Reporting and Product Control is a significant plus.

What's on Offer

Attractive base and bonus

Reporting directly to the CFO

Excellent benefits

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