Manager, Accounting

Overview

Manager, Broker Dealer Accounting

Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a demonstrated ability to work well in teams, develop new ideas, and take ownership of your projects? Would you like the opportunity to individually contribute to the team, along with the opportunity to grow into a leader? Would you like to work in a collaborative environment where your contributions are recognized and rewarded, all while having a work-life balance?

If so, opportunities for professional and personal fulfillment in a dynamic, progressive organization await you at Capital One!

We are seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible for managing a team of accounting professionals, balancing multiple priorities, and meeting deadlines in a fast paced, time sensitive environment. Candidates must be able to develop strong relationships with key business partners.

Additionally, candidates should possess the ability to identify process improvement and technology options and assist in implementation of automation solutions.

• Oversee monthly closes process
• Prepare internal & external financial statements and variance analysis
• Prepare regulatory filings (FOCUS reports, SIPC reports, etc.)
• Perform regulatory net capital computation and ensure compliance with regulatory guidance
• Responsible for monthly account reconciliations review
• Manage line of business incentive plans
• Coordinate various internal stakeholders (Operations, FP&A, business leaders) to ensure accurate reporting and adherence to regulatory guidance
• Review intercompany management fees
• Other broker-dealer accounting responsibilities as assigned
• Support external and internal audits as well as regulatory exams
• Develop team financial talent and bench-strength and manage employee development and training
• Participate in challenging project initiatives with the team
• Support automation and data transformation efforts
• Identify and drive process efficiencies
• Ability to adhere to strict deadlines for monthly closes and regulatory reporting
• Ability to manage complex financial, reporting and regulatory matters or processes
• Ability to develop, establish, and operate financial policies and procedures
• Due to the nature of this position, pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
• Currently has, or is in the process of obtaining, a Series 27 Securities License with the expectation that license will be obtained within six months of hire

• Bachelor's degree in Accounting or military experience
• At least 3 years of Accounting experience
• At least 3 years of broker dealer experience
• At least 2 years of experience in people management

• Master’s degree in Finance or Accounting
• 5+ years of securities industry experience
• Financial Industry Regulatory Authority Series License 7,10, 24, 27, or a combination

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Chicago, IL: $132,800 - $151,600 for Manager, Accounting
McLean, VA: $146,100 - $166,700 for Manager, Accounting
New York, NY: $159,400 - $181,900 for Manager, Accounting
Plano, TX: $132,800 - $151,600 for Manager, Accounting
Richmond, VA: $132,800 - $151,600 for Manager, Accounting
Wilmington, DE: $132,800 - $151,600 for Manager, Accounting

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to…