Financial Controller

Oliver James Associates Ltd.; New York (NY); Hybrid; USD 180,000 - 230,000; Full time

Benefits offered by this job

Hybrid work

Base salary up to $230,000

Discretionary bonus

Comprehensive health coverage

Family leave and elder care

Wellness and gym benefits

Job summary

Oliver James Associates Ltd. is seeking a Director-level Financial Controller for their New York finance team. You will lead financial control, regulatory reporting and ensure compliance across North American broker-dealer entities, including FINOP duties.

The role requires 6–10 years in Banking/Financial Services with strong broker-dealer reporting experience; CPA and Series 27 are highly preferred. This position offers a hybrid work arrangement and a substantial base salary with solid benefits.

Qualifications

• CPA certification required for the role.
• Strong practical experience in financial control and regulatory reporting for broker-dealers.
• Familiarity with FINRA Series 27 and Net Capital Rule 15c3-1.

Responsibilities

• Lead financial control and regulatory reporting for US Global Markets and broker-dealer entities.
• Maintain integrity of broker-dealer records, ensuring capital adequacy and regulatory standards.
• Deliver timely regulatory and management reporting, supporting transparency for US entities.
• Supervise month-end close, ensuring accurate financials and strong local controls.
• Collaborate with auditors, regulators and compliance teams; own remediation and FINOP duties.
• Develop a high-performing Finance team and drive automation and value.

Skills

Financial control

Regulatory reporting

Broker-dealer regulations

FINRA Series 27 knowledge

Education

CPA certification

Series 27 certification

Job description

Oliver James have recently partnered with a leading global commercial banking group, as they seek to hire a Financial Controller to join their Finance team in New York. This Director-level candidate will be responsible for leading financial control and regulatory reporting, safeguarding capital strength and compliance across their North American entities, with a particular focus on their U.S. broker-dealer. The ideal candidate would hold a CPA and Series 27, combining strong broker-dealer financial control experience with a solid understanding of banking products and markets; our client is offering an annual base salary between $180,000 and $230,000, a wide-ranging benefits package, genuine ownership of a pivotal Finance function and much more!

Responsibilities

• Lead financial control and regulatory reporting, acting as a key advisor to partners and ensuring compliance and accurate data.
• Maintain the integrity of broker-dealer records, ensuring capital adequacy and regulatory standards, and proactively managing risk.
• Deliver timely, accurate regulatory and management reporting for US Global Markets, supporting transparency and confidence.
• Supervise month-end close, ensuring accurate financials and robust local controls.
• Build partnerships with auditors, regulators and compliance teams, taking ownership of remediation and FINOP duties.
• Develop and inspire a high-performing Finance team, driving innovation, automation and collaboration to add new value.

Requirements

• 6-10 years of experience within the Banking/Broker-Dealer/Financial Services sectors.
• Financial acumen and hands-on experience with financial control and regulatory reporting.
• Strong understanding of broker-dealer regulations, including FINRA Series 27 and Net Capital Rule 15c3-1.
• Proven experience in financial controls and reporting within regulated environments.
• Knowledge of banking products and markets, with a track record of reporting for FINRA/SEC organisations.

Benefits

• Competitive base salary worth up to $230,000
• Excellent discretionary bonus package
• Strong hybrid working and clear route for progression
• Comprehensive health coverage with multiple medical plan options
• Family and life support including paid family leave and backup child and elder care
• Wellness and lifestyle benefits including fitness programs and gym reimbursement
• Much more!