VP, Legal Entity Controller & Regulatory Reporting

Confidential; Jacksonville (FL); On-site; USD 180,000 - 280,000; Full time

Job summary

Confidential is seeking a Vice President, Legal Entity Controller & Regulatory Reporting to lead U.S. GAAP financial control and regulatory reporting for a U.S. broker-dealer and SBSD business.

The role partners with Accounting Policy, Operations, Treasury, Technology, Compliance, Risk, and COO teams to design, implement, and govern systems and controls for an evolving regulatory platform. The candidate will own month-end close, prepare external statements, and drive process improvements,

Qualifications

• Bachelor's degree in Accounting required.
• CPA required.
• 8+ years of progressive experience in financial accounting, legal entity control, broker-dealer accounting, and regulatory reporting within the financial services industry.
• Strong technical knowledge of broker-dealer and security-based swap dealer regulatory frameworks and U.S. GAAP.
• Direct experience with swaps, security-based swaps, derivatives, equities, and prime brokerage products.
• Experience with financial reporting platforms such as Oracle, Essbase, HFM, or similar systems.
• Advanced Excel and financial analysis capabilities.

Responsibilities

• Provide legal entity controller and financial oversight for a U.S. broker-dealer and SBSD entity in accordance with U.S. GAAP.
• Lead month-end and quarter-end close process for SBSD activities, including journal entry preparation and review.
• Prepare and review quarterly broker-dealer financial statements, related footnotes, and supporting schedules for external reporting and regulatory filings.
• Maintain and enhance accounting policies and technical documentation related to derivatives, funding activities, and other transactions under U.S. GAAP.
• Lead balance sheet substantiation and control reviews, ensuring timely resolution and escalation of material issues.
• Oversee regulatory filings and governance of regulatory reporting obligations.

Skills

Analytical skills

Communication

Project management

Interpersonal skills

Education

Bachelor's degree in Accounting

CPA

Job description

A leading diversified financial services organization serving institutional clients across global capital markets and related industries. The firm has a long-standing history of innovation, strong capitalization, and growth across multiple business lines, providing a wide range of market-leading products and services to clients worldwide.

The Vice President, Legal Entity Controller & Regulatory Reporting is a critical finance leadership role responsible for U.S. GAAP financial control, regulatory reporting, and infrastructure development for a U.S. broker-dealer entity and Security-Based Swap Dealer (SBSD) business

.Reporting to senior Finance leadership, this individual will partner closely with Accounting Policy, Operations, Treasury, Technology, Change Management, Legal, Compliance, Risk, COO teams, and Product Control. The role combines hands-on responsibility for financial reporting with leadership in designing, implementing, and governing systems, controls, and processes that support an evolving regulatory business platform.

Key Responsibilities

• Legal Entity Controller
• Provide legal entity controller and financial oversight for a U.S. broker-dealer and SBSD entity in accordance with U.S. GAAP.
• Partner with Technical Accounting, Legal, Compliance, Tax, Treasury, Product Control, Operations, and FP&A teams to ensure appropriate accounting treatment for new products and transactions.
• Lead financial analysis and advisory support for new and existing transactions as well as legal entity structure changes.
• Own the month-end and quarter-end close process for SBSD activities, including journal entry preparation and review.
• Prepare and review quarterly broker-dealer financial statements, related footnotes, and supporting schedules for external reporting and regulatory filings.
• Maintain and enhance accounting policies and technical documentation related to derivatives, funding activities, and other transactions under U.S. GAAP.
• Lead balance sheet substantiation and control reviews, ensuring timely resolution and escalation of material issues.
• Produce monthly and quarterly financial analytics, including balance sheet and P&L variance analysis with management commentary.
• Support internal, external, and regulatory audits and examinations.
• Regulatory Reporting
• Oversee the preparation, review, and governance of regulatory filings, including: Rule 15c3-1 (Net Capital), Rule 15c3-3 (Customer Protection/Reserve Formula), Daily Customer Reserve Computations.
• Ensure alignment between GAAP financial reporting and regulatory capital reporting requirements.
• Lead process improvements, controls, and infrastructure enhancements supporting regulatory reporting obligations.
• Systems Ownership & Transformation
• Serve as the finance business owner for regulatory and infrastructure-related system implementations and transformation initiatives.
• Act as the primary liaison among Finance, Technology, Change Management, Operations, Product Control, COO teams, and business stakeholders.
• Lead major system implementations, upgrades, enhancements, data migrations, testing cycles, and control redesign efforts.
• Drive automation and scalability by reducing manual processes, improving data quality, strengthening controls, and enhancing auditability.
• Ensure effective governance over system changes, including development-to-production controls, user acceptance testing, documentation, and approvals.
• Ensure system designs and process changes remain aligned with applicable accounting and regulatory requirements.

Qualifications

• Bachelor's degree in Accounting required.
• CPA required.
• 8+ years of progressive experience in financial accounting, legal entity control, broker-dealer accounting, and regulatory reporting within the financial services industry.
• Strong technical knowledge of broker-dealer and security-based swap dealer regulatory frameworks and U.S. GAAP.
• Direct experience with swaps, security-based swaps, derivatives, equities, and prime brokerage products.
• Experience supporting new business launches, regulatory initiatives, or entity expansions.
• Experience with financial reporting platforms such as Oracle, Essbase, HFM, or similar systems.
• Demonstrated success operating in fast-paced, highly regulated environments with demanding reporting timelines.
• Strong analytical, problem-solving, communication, interpersonal, business writing, and project management skills.
• Background in public accounting is preferred.
• Advanced Excel and financial analysis capabilities.