Job Description
Our client is a leading digital investment platform. They seek an Associate Director to join their Manhattan, NY office. Responsibilities Manage intercompany allocations and reconciliations of payroll, benefits, and overhead across regulated and non-regulated entities, ensuring compliance with SEC, FINRA, CFTC, and NFA net capital requirements Lead month-end consolidation across multiple legal entities, overseeing eliminations, subsidiary reconciliations, and consolidated financial statements for regulatory and tax reporting Oversee recording and reconciliation of complex revenue streams and expenses, including trading commissions, PFOF, advisory fees, and operational costs, while managing variance analysis and vendor data integrity Prepare and support regulatory filings for SEC, FINRA, CFTC, and NFA, including net capital calculations and required reports, ensuring compliance with electronic submission standards Coordinate with auditors, tax advisors, and regulators while supporting internal controls, audit readiness, and preparation of reconciliations and audit workpapers across all entities Requirements Bachelor’s degree in Accounting, Finance, or related field 6+ years of relevant experience Brokerage/ broker-dealer experience required Public accounting/audit background Strong working knowledge of SEC rules and regulations, primarily SEA Rule 15c3-1 Knowledge of US GAAP principles Strong analytical and problem-solving skills Detail-oriented and proficient in accounting FINRA Series 27 is a plus CPA required Job ID # 48054 Tagged as: In-Office