abacus groupNew York, NY
Director, Broker Dealer Controller
Director, Broker Dealer Controller
Director, Broker Dealer Controller
abacus groupNew York, NY
Apply for this role (opens in a new tab)13 days ago
Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office.
Responsibilities:
- Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US GAAP, IFRS, and regulatory standards
- Lead a multi-location accounting team supporting U.S. broker-dealer and affiliated entity financial operations
- Validate revenue, expense, and balance sheet reporting to ensure accurate financial statement presentation under US GAAP and IFRSCollaborate with head office finance control teams to support reporting, controls, and disclosure requirements
- Liaise with regulators, external auditors, and internal audit teams to manage inquiries and ensure the timely resolution of audit matters
- Oversee all internal and external audit activities, including coordination, deliverables, and closure of audit findings
- Strengthen internal control frameworks and governance structures to maintain audit readiness and regulatory compliance
- Monitor adherence to policies, procedures, and reporting requirements across U.S. broker-dealer entities
- Advise on complex transactions, new products, and accounting standards in partnership with cross-functional stakeholders
- Drive finance transformation initiatives, including ERP enhancements, automation, analytics, and AI-enabled process improvements
Requirements:
- 10+ years relevant experience
- Combo or private experience
- Experience with financial products across capital markets, wealth management, and retail banking
- In-depth experience and knowledge of IFRS and GAAP accounting requirements
- Strong understanding of regional and global P&L reporting
- General understanding of SEC and FINRA regulatory reportsCPA is preferred
- Series 27 is a plus
- JobID: 48363
Also on the board Same function, level within a rung
Level
Manager
Location
New York, NY
Occupation
Accountants and Auditors
Industry
Investment Banking and Securities Intermediation
Posted
13 days ago