Financial Controller – Banking/Broker-Dealer

Oliver James Group; New York (NY); Hybrid; USD 180,000 - 220,000; Full time

Benefits offered by this job

Hybrid working

Discretionary bonus

Health coverage

Family leave

Wellness benefits

Career progression

Job summary

Oliver James Group has partnered with a leading global commercial banking group to hire a Financial Controller for their New York Finance team. This director-level role focuses on leading financial control, regulatory reporting, and safeguarding capital strength across North America, with emphasis on the U.S.

broker-dealer. The ideal candidate will hold a CPA and FINRA Series 27, bringing deep broker-dealer financial control experience and strong understanding of banking products and markets.

Qualifications

• 6-10 years of experience in Banking/Broker-Dealer/Financial Services.
• Strong financial acumen and hands-on experience with financial control and regulatory reporting.
• Knowledge of broker-dealer regulations including FINRA Series 27 and Net Capital Rule 15c3-1.
• Experience reporting for FINRA/SEC organisations.

Responsibilities

• Lead financial control and regulatory reporting for US Global Markets and broker-dealer records.
• Maintain capital adequacy and regulatory standards while managing risk.
• Deliver timely regulatory and management reporting and supervise month-end close.
• Build relationships with auditors, regulators and compliance teams.
• Develop a high-performing Finance team with focus on automation and value creation.
• Support remediation and FINOP duties as needed.

Skills

Broker-dealer regulations

Regulatory reporting

Financial controls

Education

CPA

FINRA Series 27

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 $220,000, 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 $220,000
• 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!