Assistant Controller - Broker Dealer
Core
Prepare journal entries, assist with month-end close, review trading subledgers, and prepare financial statements and regulatory filings for a US broker-dealer.
Role type
Senior IC accounting controller
Builds
Monthly reporting files, annual financial statements, regulatory filings (FOCUS, SIPC, 17H)
Domain
Financial services / Broker-dealer accounting
Required skills
Journal entries, month-end close, net capital calculation, trading subledger review, P&L classification, annual financial statements, regulatory filings (FOCUS, SIPC, 17H), internal controls, external auditor liaison, due diligence support
Preferred skills
Broker-dealer experience, CPA, public & private accounting experience
Technologies
None stated
Responsibilities
Prepare journal entries and assist with month-end close; Review trading subledger and ensure accurate classification of P&L; Assist in preparation of annual financial statements and regulatory filings; Implement systems and procedures to improve efficiency; Liaise with external auditors; Prepare monthly reporting files for management
Seniority
Senior, hands-on IC
