ABOUT THE ROLEA financial services firm is seeking a Senior Manager to support accounting, regulatory reporting, and financial operations for its securities broker-dealer business. The position can be based in
New York, NY or St. Petersburg, FL.
The role combines broker-dealer financial reporting with capital monitoring, liquidity management, and support for clearing operations. The ideal candidate brings both public accounting/audit experience and in-house broker-dealer finance experience.
Base salary is $150, 000 $170, 000, with a discretionary bonus historically approximately
35% of base salary. Bonus payments are not guaranteed.
RESPONSIBILITIES- Prepare and review broker-dealer regulatory filings, including FOCUS reports and supporting schedules.
- Monitor financial responsibility requirements under SEC Rules 15c3-1 and 15c3-3.
- Support net capital calculations, customer protection computations, and related reporting.
- Manage close activities, reconciliations, and financial statement preparation.
- Support accounting and financial controls for securities clearing and settlement.
- Develop financial processes supporting self-clearing operations.
- Monitor daily liquidity, cash balances, settlement obligations, and funding needs.
- Contribute to financial forecasting and regulatory capital planning.
- Prepare management reporting on financial performance, liquidity, and capital adequacy.
- Coordinate external audits, regulatory examinations, and financial compliance reviews.
- Strengthen accounting policies, reporting procedures, and internal controls.
- Partner with finance, operations, and compliance teams to resolve reporting and control issues.
QUALIFICATIONS- Combined public accounting/audit and in-house broker-dealer financial operations experience.
- Strong understanding of broker-dealer accounting and financial reporting.
- Experience preparing or reviewing FOCUS reports and supporting regulatory schedules.
- Knowledge of SEC and FINRA financial responsibility requirements.
- Familiarity with SEC Rules 15c3-1 and 15c3-3.
- Experience with regulatory net capital and customer protection calculations.
- Knowledge of securities clearing, settlement, and associated financial controls.
- Experience with financial close processes, reconciliations, and financial statements.
- Understanding of liquidity monitoring, cash management, and capital planning.
- Experience supporting external audits and regulatory examinations.
- Ability to evaluate controls and improve accounting and reporting processes.
- Strong analytical, communication, and cross-functional collaboration skills.