Broker-Dealer Financial Controller – Regulatory Reporting

The Vanguard Group; Malvern (Chester County); Hybrid; USD 75,000 - 105,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Vanguard Marketing Corporation (VMC) in Malvern, PA, seeks an early-career accounting professional to join its finance team focused on regulatory reporting and broker-dealer operations.

You will handle month-end close, journal entries, GAAP compliance, FINRA/SEC reporting, audits, and coordination with Compliance and Legal to support exams. This hybrid role offers growth and exposure to senior leaders at Vanguard.

Qualifications

• Undergraduate degree in accounting or finance recommended.
• CPA or MBA preferred or equivalent experience.
• Strong written and verbal communication skills.
• Ability to work independently and build relationships.
• Working knowledge of GAAP and internal controls.

Responsibilities

• Completes month-end close for the VMC entity.
• Enters and reviews journal entries including accruals and other adjustments.
• Prepares Balance Sheet and Income Statement for FINRA reporting.
• Supports audits and regulatory exams with Compliance and Legal teams.
• Manages documentation and risk related to accounting and reporting.
• Interacts with PwC for annual financial statement audit.
• Assists in quarterly certification packages and reconciliations.
• Oversees customer reserve and regulatory compliance processes.

Skills

Excellent written and verbal skills

Independent work

Relationship building

GAAP knowledge

Communication/presentation

Accounting experience

Education

Undergraduate degree in accounting or finance

CPA or MBA preferred or equivalent

Tools

Microsoft Excel

Word

PowerPoint

Accounting software

Job description

Vanguard Marketing Corporation (VMC) in Malvern, PA, seeks an early-career accounting professional to join its finance team focused on regulatory reporting and broker-dealer operations.

You will handle month-end close, journal entries, GAAP compliance, FINRA/SEC reporting, audits, and coordination with Compliance and Legal to support exams. This hybrid role offers growth and exposure to senior leaders at Vanguard.