Senior AVP, Cash Reconciliation & Regulatory Controls

Vaco by Highspring; Charlotte (NC); On-site; USD 130,500 - 159,500; Full time

Benefits offered by this job

Medical, dental, and vision benefits

401(k) retirement plan

Discretionary bonuses

Job summary

A leading financial services firm seeks an Assistant Vice President (AVP), Cash Reconciliation in Charlotte, NC. This role demands a seasoned professional with over 8 years of experience in finance and cash reconciliation, ensuring compliance with SEC rules while leading a dynamic team. The AVP will oversee complex reconciliation activities, validate regulatory calculations, and enhance internal controls. Candidates should hold a relevant degree and show demonstrated leadership in a broker-dealer environment, with competitive compensation and benefits offered.

Qualifications

• 8+ years of experience in finance, cash reconciliation, or broker-dealer operations.
• Series 99 license (or ability to obtain within 120 days of hire).
• Expertise in SEC Rule 15c3-3 and broker-dealer regulatory requirements.

Responsibilities

• Lead daily reconciliation of cash, clearing, and asset positions.
• Oversee preparation and validation of daily Customer Reserve calculations.
• Maintain and enhance internal controls supporting operations.

Skills

Cash reconciliation

Regulatory compliance

Financial analysis

People leadership

Process improvement

Advanced Excel

Education

Bachelor’s or Master’s degree in Finance, Accounting, Business, or a related discipline

Tools

Oracle

BETA

Kyriba

Job description

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