The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory compliance functions for the broker-dealer operations. This role ensures that all financial reporting, regulatory filings, and compliance requirements are met accurately and timely. The Manager will be a part of the management company accounting team and will have opportunities to expand role. Successful candidates will have a strong background in GAAP accounting and have experience in regulatory compliance within the asset management industry. Manager should possess excellent analytical skills and a solution-based attitude with minimal oversight.
Responsibilities
- Oversee the preparation and review of broker-dealer financial statements, ensuring accuracy and timeliness in a controlled environment and compliance with GAAP and regulatory requirements.
- Manage the month-end close process for the broker-dealer including journal entry reviews and reconciliations as well as ensuring compliance with regulatory requirements and timely monthly filings.
- Develop and update accounting and business policies and procedures to ensure compliance with regulatory changes and best practices including strengthening internal controls.
- Oversee execution of expense sharing allocation policy.
- Maintain and track liquid capital funding requirements.
- Collaborate with internal business partners as well as external service providers on deliverables
- Lead internal and external audits
- Communicate effectively with management, regulatory bodies, and other stakeholders regarding financial and regulatory matters.
- Process ad-hoc analysis and projects as needed
Qualifications
- Minimum of 7+ years of experience in accounting and regulatory compliance within the asset management industry, with a focus on broker-dealer operations preferred
- Bachelor’s degree or higher – Accounting, Finance or a related field. CPA preferred.
- Strong knowledge of GAAP, SEC and FINRA regulations
- Experience with financial systems - Sage Intacct and FloQast preferred
- Effective oral and written communication and interpersonal skills
- Able to prioritize, multi-task, and meet internal/external deadlines
- Attention to detail with high degree of accuracy
- Self-motivated with the ability to work independently and in a team environment
- Strong computer desktop skills required. Advanced skills in MS Excel desirable
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