Accounting Manager

Position Summary

The Accounting Manager will oversee all accounting operations for a Broker Dealer / RIA firm. This role is responsible for ensuring accurate financial reporting, regulatory compliance, and the integrity of all accounting processes. The ideal candidate will have experience in both broker-dealer and RIA environments, with a strong understanding of industry regulations and best practices.

• Manage the monthly, quarterly, and annual close processes for firm
• Prepare and review financial statements, management reports, and regulatory filings
• Oversee general ledger, accounts payable/receivable, payroll, and reconciliations.
• Ensure accurate tracking of commissions, advisory fees, and other revenue streams.
• Develop, document, and maintain accounting policies and procedures.
• Implement and monitor internal controls to safeguard firm assets and ensure data integrity.
• Identify and drive process improvements to increase efficiency and accuracy.
• Serve as a key point of contact for external auditors, regulators, and vendors.
• Support budgeting, forecasting, and financial analysis activities.
• Oversee expense management.

• Bachelor’s degree in Accounting, Finance, or related field (CPA preferred).
• 5+ years of progressive accounting experience, with at least 2 years in a broker-dealer and/or RIA environment.
• Series 27 preferred
• Strong knowledge of SEC, FINRA, and state regulatory requirements.
• Experience with regulatory filings
• Proficiency with accounting software and advanced Excel skills.
• Excellent analytical, organizational, and communication skills.
• Ability to meet deadlines and manage multiple priorities in a fast-paced environment.
• Leadership experience preferred.

• Experience with dual-registered (Broker Dealer/RIA) firms.
• Familiarity with commission and advisory fee structures.
• Prior involvement in system implementations or process automation

Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

• Professional office environment
• Dallas location preferred, open to remote for right candidate