Reporting to the Director of Finance, the Controller is responsible for overseeing all accounting activities, accounting controls and procedures, and preparation of interim and year-end financial statements. Requirements Essential Duties and Responsibilities + Prepare monthly and annual financial statements in a timely manner + Direct all accounting functions to include oversight of receivables, payables, payroll, commissions and financial reporting and maintaining the firm’s accounting practices and procedures + Prepare journal entries and analysis of accounts + Complete bank and trading account reconciliations + Coordinate annual audit performed by independent, external auditors + Perform monthly analysis of key income statement and balance sheet items investigating all significant variances + Maintain chart of accounts + Work with Director of Finance to create budgets and implement budget/cost control procedures + Create and distribute financial and key metric reporting + Play a critical role in budgeting, auditing or inquiries, taxes, monthly/quarterly regulatory filings + Respond to Requests for Information (RFI’s) from potential clients + Work with Director of Finance on special projects + All other duties as assigned Management & Decision Making Responsibilities + Manage staff accountant and clerical support personnel + Manage FINRA/SEC Financials + Manage monthly accounting close and timely and accurate completion of firm’s monthly FOCUS filings with SEC Knowledge, Skills & Abilities Requirements + Strong computer skills and demonstrated proficiency with spreadsheets + Experience with regulatory filings + Strong knowledge of accounting principles and basics + Ability to prioritize multiple tasks and meet timelines + Comfortable interacting with internal and external customers + Experience completing Minority/MBE Business applications and RFI’s a plus + Experience with QuickBooks a plus + Programming experience a plus Education & Work Experience + Bachelors degree in Accounting, Finance, or related discipline + Minimum of 5 years of progressively responsible experience in financial accounting and reporting + Prior experience at a broker/dealer or in the financial services industry strongly preferred Required Licenses & Certificates + Series 27 + CPA Strongly Preferred Benefits + Employee Profit Sharing Plan + 401K Retirement Plan with Company Match + Medical, Dental & Vision Insurance Plans + Group Whole Life and Term Life Insurance Plans + Short Term & Long Term Disability + Pre-Tax Plans (Dependent Care, FSA, HSA, Transit & Parking) + Critical Illness & Accident Plans + Employee Assistance Program