Finance Specialist

Harrington Starr; New York (NY); On-site; USD 180,000 - 250,000; Full time

Job summary

Harrington Starr is seeking an experienced Entity Controller / Financial & Operations Principal in New York to own financial reporting, regulatory compliance and audit management for broker-dealer entities.

The role requires leading the close process, coordinating with external auditors, and supporting FINRA/SEC examinations, with a focus on US GAAP, regulatory filings such as FOCUS and Net Capital calculations.

Qualifications

• 5+ years of progressive accounting/controllership experience in broker-dealer or capital markets.
• Experience with broker-dealer financial reporting and accounting.
• Experience managing external auditors and FINRA/SEC examinations.
• US GAAP knowledge, including broker-dealer accounting.
• Bachelor's degree in Accounting or Finance; CPA preferred.

Responsibilities

• Own the general ledger close process and financial reporting for broker-dealer entities.
• Act as primary liaison with external auditors for audits and reviews.
• Manage audit requests, walkthroughs and remediation efforts.
• Support FINRA and SEC examinations and regulatory inquiries.
• Prepare and review regulatory filings, including FOCUS and Net Capital.
• Maintain and enhance dimensional reporting structures in Sage Intacct.
• Partner with Product Control, AP, Payroll and Finance teams for accuracy.
• Assess financial impact of trading, funding and corporate activities with stakeholders.
• Lead technical accounting research and documentation for new products.
• Design and maintain robust internal controls over financial reporting.
• Identify opportunities to automate the close and regulatory reporting.

Skills

Broker-dealer accounting

Controllership

US GAAP

Auditor management

Series 27

Education

Bachelor's degree in Accounting/Finance

CPA preferred

Tools

Sage Intacct

Airbase

Brex

Job description

Entity Controller / Financial & Operations Principal

A leading, technology-driven financial markets business is looking for an experienced Entity Controller / Financial & Operations Principal to take ownership of financial reporting, regulatory compliance and audit management for one or more registered broker-dealer entities.

The Role

You will be responsible for the financial control and regulatory reporting of assigned broker-dealer entities, with significant exposure to senior stakeholders, auditors and regulators.

Key responsibilities include:

• Own the general ledger close process and financial reporting for assigned broker-dealer entities, ensuring accuracy and compliance with US GAAP
• Act as the primary liaison with external auditors across annual audits, quarterly reviews and special engagements
• Manage audit requests, walkthroughs, issue resolution and remediation
• Support FINRA and SEC examinations, regulatory enquiries and ongoing correspondence
• Prepare and review regulatory filings, including FOCUS Reports and Net Capital (Rule 15c3-1) calculations
• Maintain and enhance dimensional reporting structures within Sage Intacct
• Partner with Product Control, Accounts Payable, Payroll and wider Finance teams to ensure accurate books and records
• Work closely with Technology, COO, Treasury and Risk to assess the financial impact of trading, funding and corporate activities
• Lead technical accounting research and documentation relating to new products and regulatory developments
• Design and maintain robust internal controls over financial reporting
• Identify opportunities to improve and automate the close, reconciliation and regulatory reporting processes

About You

We're looking for someone with strong broker-dealer accounting and controllership experience who is comfortable operating in a sophisticated capital markets environment.

You should have:

• 5+ years' progressive accounting/controllership experience, ideally within a broker-dealer, financial services or capital markets environment
• Significant experience working with broker-dealer financial reporting and accounting
• Experience managing external auditors and supporting FINRA/SEC regulatory examinations
• Strong knowledge of FOCUS reporting and SEC Rule 15c3-1 Net Capital
• Series 27 qualification, or the ambition to obtain it
• Strong understanding of US GAAP, particularly broker-dealer and financial instruments accounting
• Bachelor's degree in Accounting, Finance or a related discipline; CPA is preferred
• Hands-on experience with Sage Intacct, including chart of accounts and dimensional reporting
• Additional FINRA licences such as Series 99
• Experience with ERP implementations or system migrations
• Experience with AP and expense automation platforms such as Airbase or Brex
• Experience working within a multi-entity parent/subsidiary structure