Job Description

Job Summary

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

The annualized base pay range for this role is expected to be between $145,000-180,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise and the applicant's skill set. The base pay is just one component of the total compensation package for employees. Other rewards may include an annual cash bonus and a comprehensive benefits package.

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