SVP, Legal Entity Controller (Broker Dealer)

Atlas Search; New York (NY); On-site; USD 180,000 - 280,000; Full time

Job summary

Atlas Search, a privately held financial services firm with a global footprint, seeks a senior accounting leader to own financial reporting for broker dealer entities and SPACs under US GAAP.

Reporting to the Financial Controller, you will lead a growing team, manage the month-end close, oversee SEC filings, and drive process improvements across regulatory reporting, tax, treasury and corporate accounting in a fast-paced, high-volume environment.

Qualifications

• Bachelor's degree in Accounting required.
• Active CPA license preferred.
• 10+ years of progressive financial accounting experience in financial services.
• Strong command of US GAAP and financial statement fundamentals.
• Experience managing staff and/or consultants.

Responsibilities

• Provide legal entity controllership and financial reporting for broker dealer entities and SPACs under US GAAP.
• Own the month end close process, including review of journal entries for investing, financing, consolidations, accruals, intercompany activity and taxes.
• Oversee preparation and review of quarterly and annual financial statements for external reporting.
• Review monthly balance sheet substantiation and evaluate expense accrual adequacy, escalate issues to leadership.
• Prepare and review quarterly SPAC financial statements for external reporting purposes.
• Review SEC filings including Forms S1, 8-K, 10-Q, 10-K and S4.
• Partner cross-functionally with SEC reporting, corporate accounting, regulatory reporting, product control, tax, and treasury.
• Drive process improvement, efficiency, and stronger controls, collaborating with technology teams.
• Manage and mentor a team including onboarding consultants and staff supporting SEC filing preparation.
• Support ad hoc projects for senior finance and business leadership.

Skills

US GAAP

CPA

Financial reporting

Staff management

SEC filings

Education

Bachelor's degree in Accounting

Job description

Join a well established, privately held financial services firm with a multi decade track record in capital markets, investment banking, and institutional financial services. The firm operates globally across major financial centers, maintains a diversified set of business lines, and has built a reputation for technological innovation and client focused service across its institutional customer base. As a private partnership, the firm can move quickly and invest for the long term without the pressures of quarterly public reporting on its own core business, while still operating with the rigor and discipline of a regulated, SEC reporting environment through its various entities.

This is an opportunity to join a lean, highly technical finance function at a firm with real scale and a strong market position, working closely with senior leadership across accounting, regulatory reporting, tax, and treasury.

The Role

This position exists to provide legal entity control and financial reporting oversight across a mix of broker dealer entities and special purpose acquisition companies (SPACs), reporting directly to the Financial Controller. You will own the accuracy and integrity of financial reporting for these entities under US GAAP, while also managing a growing team supporting high volume SEC filing activity. This is a highly visible seat that interacts regularly with SEC reporting, corporate accounting, regulatory reporting, product control, tax, and treasury functions, and it carries real ownership over financial statements that go out the door.

Key Responsibilities

• Provide legal entity controllership and financial reporting support for broker dealer entities and SPACs under US GAAP
• Own the month end close process, including review of journal entries related to investing activities, financing activities, consolidations, expense accruals, intercompany activity, and income taxes
• Oversee preparation and review of quarterly and annual financial statements for external reporting
• Review monthly balance sheet substantiation and evaluate the adequacy of expense accruals, escalating issues to leadership in a timely manner
• Prepare and review quarterly SPAC financial statements for external reporting purposes
• Review SEC filings including Forms S1, 8K, 10Q, 10K, and S4
• Partner cross functionally with SEC reporting, corporate accounting, regulatory reporting, product control, tax, and treasury to ensure accurate accounting
• Drive process improvement, efficiency, and stronger controls, partnering with technology teams where needed
• Manage and mentor a team including onboarding consultants and staff supporting SEC filing preparation
• Support ad hoc projects for senior finance and business leadership

Qualifications

Required:

• Bachelor's degree in Accounting
• Active CPA license
• 10+ years of progressive financial accounting experience within a financial services company
• Strong, hands on command of US GAAP and financial statement fundamentals
• Experience managing staff and/or consultants

Preferred:

• Big Four public accounting background
• Direct SEC filing experience (10K, 10Q, S1, 8K, S4)
• SPAC accounting or reporting exposure
• Experience managing remote or distributed teams

Why Consider This Opportunity?

This role offers direct exposure to a high profile, high volume SEC filing environment and the chance to build and shape a growing team during a period of real business momentum. You will have a seat close to senior finance leadership, ownership over entity level financial reporting that matters to external stakeholders, and the opportunity to bring structure and process improvement to a function that is actively scaling. For a candidate who wants more ownership, more visibility, and a chance to build rather than maintain, this is a strong next step.

Location and Work Arrangement

New York, NY. On site role, 4 days a week in office.