Director, Broker Dealer Controller

Abacus Group; Jersey City (NJ); Hybrid; USD 180,000 - 240,000; Full time

Job summary

Abacus Group is seeking a Director, Broker Dealer Controller to join our client in Jersey City, NJ. This role oversees month-end close, financial reporting, and regulatory compliance for US broker-dealer operations across locations.

You will lead a multi-location accounting team, ensure GAAP/IFRS reporting accuracy, and collaborate with regulators, auditors, and cross-functional stakeholders on complex transactions and controls initiatives. Hybrid work arrangement.

Qualifications

• 10+ years relevant experience.
• Experience with financial products across capital markets, wealth management, and retail banking.
• In-depth experience and knowledge of IFRS and GAAP accounting requirements.
• Strong understanding of regional and global P&L reporting.
• General understanding of SEC and FINRA regulatory reports.
• Series 27 is a plus.
• CPA preferred

Responsibilities

• Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US GAAP, IFRS, and regulatory standards
• Lead a multi-location accounting team supporting U.S. broker-dealer and affiliated entity financial operations
• Validate revenue, expense, and balance sheet reporting to ensure accurate financial statement presentation under US GAAP and IFRS
• Collaborate with head office finance control teams to support reporting, controls, and disclosure requirements
• Liaise with regulators, external auditors, and internal audit teams to manage inquiries and ensure the timely resolution of audit matters
• Oversee all internal and external audit activities, including coordination, deliverables, and closure of audit findings
• Strengthen internal control frameworks and governance structures to maintain audit readiness and regulatory compliance
• Monitor adherence to policies, procedures, and reporting requirements across U.S. broker-dealer entities
• Advise on complex transactions, new products, and accounting standards in partnership with cross-functional stakeholders
• Drive finance transformation initiatives, including ERP enhancements, automation, analytics, and AI-enabled process improvements

Education

CPA preferred

Job description

Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office.

Responsibilities

• Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US GAAP, IFRS, and regulatory standards
• Lead a multi-location accounting team supporting U.S. broker-dealer and affiliated entity financial operations
• Validate revenue, expense, and balance sheet reporting to ensure accurate financial statement presentation under US GAAP and IFRS
• Collaborate with head office finance control teams to support reporting, controls, and disclosure requirements
• Liaise with regulators, external auditors, and internal audit teams to manage inquiries and ensure the timely resolution of audit matters
• Oversee all internal and external audit activities, including coordination, deliverables, and closure of audit findings
• Strengthen internal control frameworks and governance structures to maintain audit readiness and regulatory compliance
• Monitor adherence to policies, procedures, and reporting requirements across U.S. broker-dealer entities
• Advise on complex transactions, new products, and accounting standards in partnership with cross-functional stakeholders
• Drive finance transformation initiatives, including ERP enhancements, automation, analytics, and AI-enabled process improvements

Requirements

• 10+ years relevant experience
• Combo or private experience
• Experience with financial products across capital markets, wealth management, and retail banking
• In-depth experience and knowledge of IFRS and GAAP accounting requirements
• Strong understanding of regional and global P&L reporting
• General understanding of SEC and FINRA regulatory reports
• CPA is preferred
• Series 27 is a plus

Job ID #48347

Tagged as: Hybrid Remote/Office