Entity Controller / Financial and Operations Principal

Global Trading Systems; New York (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. You will lead the close, partner with auditors, and coordinate with FINRA/SEC during regulatory reviews.

The ideal candidate has broker-dealer expertise, hands-on Sage Intacct experience, and credibility to engage with auditors and senior stakeholders across the organization.

Qualifications

• Minimum 5 years of accounting/controllership experience in broker-dealer/financial services or related audits.
• Experience interfacing with external auditors and regulators (FINRA/SEC).
• Strong knowledge of broker-dealer reporting, FOCUS, and Net Capital rules.

Responsibilities

• Own the general ledger close process and financial reporting for assigned broker-dealer entities under US GAAP.
• Serve as primary liaison with external auditors for audits and reviews.
• Assist regulatory examinations and prepare regulatory filings including FOCUS and Net Capital computations.
• Maintain Sage Intacct reporting structures aligned with regulatory requirements.
• Collaborate with Finance teams to ensure accuracy of books and records.

Skills

FINRA Series 27

Audits liaison

US GAAP broker-dealer

Education

Bachelor's degree in Accounting/Finance

Tools

Sage Intacct

Job description

Overview

GTS is seeking an experienced Entity Controller/Financial and Operations Principal to own financial reporting, regulatory compliance, and audit management for one or more of our registered broker-dealer entities. This role sits at the intersection of technical accounting, financial systems, and regulatory reporting, and serves as the primary point of contact for external auditors and regulators.

The ideal candidate brings deep broker-dealer accounting expertise, hands-on experience with Sage Intacct, and the credibility to face off directly with auditors, examiners, and senior stakeholders.

GTS is a collection of financial services companies spanning a wide array of asset classes and investment approaches, all powered by the combination of market expertise with innovative, proprietary technology. With roots as a quantitative trading firm continually building for the future, the GTS family of companies are able to leverage the latest in artificial intelligence systems and sophisticated pricing models to bring consistency, efficiency, and transparency to today’s financial markets. GTS’s electronic market maker GTS Securities accounts for 3-5% of daily cash equities volume in the U.S. and is a leading Designated Market Maker (DMM) at the New York Stock Exchange, responsible for nearly $13 trillion of market capitalization. For more information on GTS, please visit www.gtsx.com.

Responsibilities

• Own the general ledger close process and financial reporting for assigned broker-dealer entity/entities, ensuring accuracy and compliance with US GAAP


• Serve as the primary liaison with external auditors for annual audits, quarterly reviews, and special engagements — managing audit requests, walkthroughs, and issue resolution


• Assist team with regulatory (FINRA, SEC) examinations, inquiries, and routine regulatory correspondence


• Assist in the preparation and review of regulatory filings, including FOCUS Reports and Net Capital (Rule 15c3-1) computations


• Maintain and enhance the entity's dimensional reporting structure within Sage Intacct, ensuring alignment between management reporting and regulatory/statutory reporting requirements


• Partner with the broader Finance organization including Product Control, Accounts Payable and Payroll to ensure the accuracy of the entities’ books and records.


• Collaborate with Technology, COO, Treasury, and Risk to monitor and control the financial statement impact from trading, funding and corporate activities


• Lead technical accounting research, decisions and documentation for new products, and regulatory changes


• Design and maintain strong internal controls over financial reporting for the entity


• Drive process improvement and automation initiatives across the close, reconciliation, and reporting cycle

Qualifications

• Minimum 5 years of progressive accounting/controllership experience, with significant time in a broker-dealer, financial services, or capital markets organization or with a large public accounting firm specializing in broker-dealer financial statement audits


• FINRA Series 27 (Financial and Operations Principal) licensed or aspiring


• Direct, hands-on experience managing external audit relationships and regulatory examinations (FINRA/SEC)


• Strong working knowledge of broker-dealer regulatory frameworks, including FOCUS reporting and SEC Rule 15c3-1 (Net Capital)


• Bachelor's degree in Accounting, Finance, or related field; CPA preferred


• Deep knowledge of US GAAP, particularly as applied to broker-dealer/financial instruments accounting (ASC 320, ASC 321, ASC 830, etc.)


• Excellent communication skills and executive presence — comfortable presenting to senior management, auditors, and regulators


• Strong project management skills with the ability to manage competing deadlines across close, audit, and regulatory cycles


• We'reproud toemploy leadingtalentin the industry and work to ensure our employees enjoy a highquality of life.

Preferred:

• Hands-on experience with Sage Intacct, including chart of accounts, dimensional reporting (Class/Department/Location/UDDs), and month-end close processes


• Additional FINRA licensing (e.g., Series 99) relevant to product control or operations functions


• Experience with ERP implementations or system migrations


• Experience with AP/expense automation platforms (e.g., Airbase, Brex)


• Prior experience in a multi-entity, parent/subsidiary corporate structure

Please note: The use of AI tools during interviews is strictly prohibited, unless explicitly agreed upon.

In accordance with New York City's Pay Transparency Law, the base salary range for this role is $150,000 to $225,000. Base salary does not include other forms of compensation or benefits.

Benefits:

Core Benefits: Medical, Dental, and Vision coverage with generous employer contribution for employees and dependents.401k match.

Perks:

Daily Meal Allowance, Equinox Corporate Membership Rate, Snacks, Office Game Room, Casual Dress.

Hybrid Work Policy:

4 Days a Week in office, Fridays can be worked from home.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, or protected veteran status, and will not be discriminated against on the basis of disability.