Broker-Dealer Finance Controller — Hybrid, $180k–$220k

Oliver James Group; New York (NY); Hybrid; USD 180,000 - 220,000; Full time

Benefits offered by this job

Hybrid working

Discretionary bonus

Health coverage

Family leave

Wellness benefits

Career progression

Job summary

Oliver James Group has partnered with a leading global commercial banking group to hire a Financial Controller for their New York Finance team. This director-level role focuses on leading financial control, regulatory reporting, and safeguarding capital strength across North America, with emphasis on the U.S.

broker-dealer. The ideal candidate will hold a CPA and FINRA Series 27, bringing deep broker-dealer financial control experience and strong understanding of banking products and markets.

Qualifications

• 6-10 years of experience in Banking/Broker-Dealer/Financial Services.
• Strong financial acumen and hands-on experience with financial control and regulatory reporting.
• Knowledge of broker-dealer regulations including FINRA Series 27 and Net Capital Rule 15c3-1.
• Experience reporting for FINRA/SEC organisations.

Responsibilities

• Lead financial control and regulatory reporting for US Global Markets and broker-dealer records.
• Maintain capital adequacy and regulatory standards while managing risk.
• Deliver timely regulatory and management reporting and supervise month-end close.
• Build relationships with auditors, regulators and compliance teams.
• Develop a high-performing Finance team with focus on automation and value creation.
• Support remediation and FINOP duties as needed.

Skills

Broker-dealer regulations

Regulatory reporting

Financial controls

Education

CPA

FINRA Series 27

Job description

Oliver James Group has partnered with a leading global commercial banking group to hire a Financial Controller for their New York Finance team. This director-level role focuses on leading financial control, regulatory reporting, and safeguarding capital strength across North America, with emphasis on the U.S.

broker-dealer. The ideal candidate will hold a CPA and FINRA Series 27, bringing deep broker-dealer financial control experience and strong understanding of banking products and markets.