Job Description
Associate Vice President, Broker Dealer Accounting About the Company Accomplished broker-dealer Industry Financial Services Type Privately Held About the Role The Company is in need of an AVP, Broker-Dealer Accountant to take on a pivotal role in managing the day-to-day accounting activities for a self-clearing and proprietary firm. The successful candidate will be responsible for overseeing the monthly close process, ensuring the accuracy and timeliness of financial reports, and maintaining regulatory compliance with net capital and customer reserve requirements. This role also involves the development and maintenance of accounting policies, processes, and systems to enhance internal controls, as well as collaboration with senior management to address financial issues and implement process improvements. Applicants must have a background in accounting within the brokerage or securities industry, with a strong emphasis on regulatory reporting experience, including FOCUS filings. The role requires the ability to perform account reconciliations, journal entries, and financial analysis with precision. Excellent communication and collaboration skills are essential, and a Series 27 certification is a plus. The ideal candidate will be adept at managing accounts payable and receivable, including expense allocations and reconciliations, and will be instrumental in the overall financial management of the firm. Hiring Manager Title Chief Financial Officer (CFO) Travel Percent Less than 10% Functions Finance