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Financial Services

Assistant Controller - Broker Dealer

LondonOnsiteFull TimePosted 2 months ago

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Required skills

  • broker-dealer
  • net capital calculation
  • FOCUS reports
  • SIPC filings
  • 17H reports
  • internal control environment
  • financial reporting
  • due diligence

Nice to have

  • CPA

Role summary

The Assistant Controller will be responsible for supporting the month-end close process for a US broker-dealer, including net capital calculations and accurate P&L classification. This role involves preparing annual financial statements and regulatory filings such as FOCUS reports, SIPC filings, and 17H reports. The candidate will also focus on implementing and improving systems and processes to enhance efficiency and maintain internal controls. Collaboration with external auditors and preparation of management reports are key responsibilities. The ideal candidate possesses strong analytical and organizational skills, attention to detail, and the ability to multitask in a dynamic environment.

Position Overview:

  • The candidate must be comfortable working in a rapidly changing environment with an ability to deliver high quality work in collaboration with colleagues in different offices and service providers in different time zones.
  • Prepare journal entries and assist with the month-end close of a US broker-dealer, including the net capital calculation
  • Review trading subledger and ensure accurate classification of P&L
  • Assist in the preparation of annual financial statements and other regulatory filings including FOCUS reports, SIPC filings, and 17H reports.
  • Implement systems, processes, and procedures to improve efficiency while maintaining adequate internal control environment
  • Liaise with external auditors regarding financial reporting and timely issuance of financial statements
  • Prepare monthly reporting files for management and other interested parties
  • Compile information for due diligence requests from counterparties, assist with other ad hoc
  • Demonstrate an understanding of relevant regulations and reporting requirements

    • Required Qualifications:

  • Experience working on a broker-dealer strongly preferred
  • CPA preferred
  • 3 – 6 years of experience with public and/or private accounting
  • Exceptional analytical skills
  • Strong attention to detail
  • Team player with excellent communication skills
  • Ability to multitask
  • Highly organized

    • The minimum base salary for this role is $120,000 if located in New York. This expectation is based on available information at the time of posting. This role may be eligible for discretionary bonuses, which could constitute a significant portion of total compensation. This role may also be eligible for benefits, such as health, dental, and other wellness plans, as well as 401(k) contributions. Successful candidates’ compensation and benefits will be determined in consideration of various factors.

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