Controller - Broker Dealer

Henderson Harbor Group is a premier executive search and consulting firm with deep experience in finance, accounting and tax. The search division recruits highly skilled professionals on a direct hire basis. We service our clients primarily in the tri-state area as well nationally through our AAFA network.

Our client is a broker dealer located in Northern New Jersey and they are looking for an Accountnig Manager. This is their headquarters and the role reports into the Controller. This is a top tier company and offers excellent benefits and room for advancement.

Key Responsibilities include
:

• Review trading and commission data between client and clearing broker
• Management of all regulatory reporting and financial statements for Broker-Dealer in compliance with US GAAP, SEC, and FINRA regulations
• Management of preparation and filing of monthly and quarterly FOCUS, SSOI, and Form Custody reports, including the net capital computation and compliance with rule 15c3-1
• International coordination with the parent company in all financial matters, including Liaise with client and clearing brokers
• Reconciliation of domestic and international bank account activity
• Prepare/analyze month-end revenue and expense accruals
• Prepare journal entries for month-end close
• Support Controller in ensuring books and records for all entities are maintained on a timely and accurate basis, as well as review of monthly balance sheet and audit reconciliations
• Prepare and analyze income statements, balance sheets, and cash flow statements on a legal entity basis
• Ownership of P&L-related items, including planning, forecasting, approving revenue and expenses, analysis of results, challenging specific items, and communication to stakeholders

Skills & Educational Requirements
:

• BS in accounting or finance; CPA a plus but not required
• Minimum 4 years of financial reporting, analysis and/or accounting experience, preferably in the brokerage industry or public accounting