Broker-Dealer Entity Controller & Audit Lead

Global Trading Systems; Village of Pelham (NY); Hybrid; USD 150,000 - 225,000; Full time

Benefits offered by this job

Daily Meal Allowance

Equinox Corporate Membership Rate

Snacks

Office Game Room

Casual Dress

Job summary

Global Trading Systems seeks an experienced Entity Controller/Financial and Operations Principal to own financial reporting, regulatory compliance, and audit management for broker-dealer entities. This role sits at the intersection of technical accounting, financial systems, and regulatory reporting, serving as the primary contact for external auditors and regulators.

The ideal candidate brings deep broker-dealer accounting expertise, hands-on Sage Intacct experience, and the credibility to face

Qualifications

• Minimum 5 years of progressive accounting/controllership experience in broker-dealer or financial services.
• FINRA Series 27 licensed or pursuing licensing is required or desired.
• Direct experience managing external audit relationships and regulatory examinations (FINRA/SEC).
• Strong knowledge of broker-dealer regulatory frameworks and Net Capital rules (FOCUS, Rule 15c3-1).
• Bachelor’s degree in Accounting/Finance; CPA preferred.

Responsibilities

• Own general ledger close and financial reporting for assigned broker-dealer entities under US GAAP.
• Liaise with external auditors for annual audits, reviews, and special engagements.
• Assist in regulatory examinations and filings with FINRA/SEC.
• Maintain and enhance Sage Intacct reporting structure and regulatory mappings.
• Collaborate with Finance, Product Control, AP, and Payroll to ensure accurate books.
• Lead technical accounting research and document regulatory changes.

Skills

Broker-dealer accounting

External audit liaison

US GAAP expertise

Regulatory reporting

Project management

Education

Bachelor's in Accounting or Finance

CPA preferred

Tools

Sage Intacct

ERP implementations

Airbase/Brex (AP/expense platforms)

Job description

Global Trading Systems seeks an experienced Entity Controller/Financial and Operations Principal to own financial reporting, regulatory compliance, and audit management for broker-dealer entities. This role sits at the intersection of technical accounting, financial systems, and regulatory reporting, serving as the primary contact for external auditors and regulators.

The ideal candidate brings deep broker-dealer accounting expertise, hands-on Sage Intacct experience, and the credibility to face