Controller - Broker/Dealer Operations

Salary/Rate:The role is paying up to $240K plus a discretionary bonus.
Job type:Perm
Town/City:New York
County/State:New Jersey
Job ref:285814
Post Date:11. 05. 2024

About the Role

A leading Financial Trading company (based in Jersey City, New Jersey) are looking to recruit a 'Trading Controller - Broker/Dealer'.


This is a permanent role, hybrid working (3 days in the office.)


The salary paying up to $240k basic, plus discretionary bonus.


You must have Broker Dealer Operations experience, FINRA Series 27 and knowledge of GAAP, SEC regulations to be considered for this role.




Financial Reporting and Analysis

  • Prepare and analyze financial statements in accordance with GAAP and SEC regulations.
  • Ensure timely submission of all FINRA, SEC, and other regulatory reports.


Compliance and Regulation

  • Ensure compliance with FINRA, SEC, and state securities regulators.
  • Liaise with external auditors and legal counsel.


Internal Controls

  • Develop and maintain strong internal controls.
  • Conduct internal audits to ensure compliance and identify areas for improvement.


Budgeting and Forecasting

  • Prepare annual budgets and financial forecasts.
  • Analyze variances and initiate corrective actions.


Cash Management

  • Oversee cash flow planning and maintain the integrity of funds and securities.


Operational Efficiency

  • Streamline and automate financial operational processes.
  • Work closely with the operations team to identify operational inefficiencies and recommend solutions.


Tax Planning and Strategy

  • Work with tax advisors to optimize tax planning strategies.
  • Ensure timely submission of tax returns and payments.


Staff Management

  • Manage accounting staff, including hiring, training, and performance reviews.


Other Duties

  • Participate in special projects, systems implementations, and other ad-hoc assignments.


Requirements / Qualifications


• Bachelor’s degree in accounting.

• Minimum of 6 years of experience in Broker-Dealer operations.

• Series 27 license is essential.

• Extensive knowledge of GAAP, SEC regulations, and FINRA rules.

• Strong analytical, leadership, and communication skills.

• Proficiency in Microsoft Office Suite and NetSuite (required)

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