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In This Role, You Will

• Intercompany Allocation & Reconciliation: Responsible for documenting, reconciling, and settling payroll, benefits, and overhead payroll, benefits, and overhead from a central service entity to multiple regulated and non-regulated entities including, a Broker-Dealer, FCM, and RIA, all while ensuring compliance with SEC, FINRA, CFTC and NFA net capital requirements.
• Consolidation: Lead the month-end close for multiple legal entities, ensuring a timely and accurate transition from Oracle subsidiary ledgers to consolidated ledgers. Key responsibilities include managing intercompany eliminations, reconciling investment in subsidiary accounts, and preparing consolidated Balance Sheets and Income Statements to support tax requirements (quarterly estimates and annual returns) and Regulatory 17H reporting.
• Revenue & Expense Management: Responsible for the accurate recording of complex revenue streams, including trading commissions, payment for order flow (PFOF), advisory fees, and rental income. Perform reconciliations of high-volume, automated trade data to the general ledger. Manage the full expense lifecycle by ensuring operational and marketing costs are accrued in the proper period, liaising with department heads to conduct variance analysis on marketing and travel and entertainment spend, and overseeing vendor onboarding and legal entity coding to ensure data integrity across the platform.
• Regulatory Reporting & Compliance: Support the preparation of monthly and quarterly reporting packages for SEC, FINRA, CFTC, and NFA filings. Key responsibilities include updating FOCUS (17a-5) Reports, daily and monthly computation of Net Capital (15c3-1), and preparing supplemental filings such as SSOI, Form Custody, and 17H Risk Assessment reports. Ensuring all submissions comply with electronic filing standards (e.g., EDGAR and FINRA Gateway).
• Governance & Oversight: Serve as a point of contact for internal and external auditors, tax advisors, and regulatory examination teams (SEC, FINRA, NFA). Support the development, implementation, and ongoing monitoring of Internal Controls over Financial Reporting and compliance. Responsible for the preparation of comprehensive audit workpapers and reconciliations for all regulated and non-regulated entities, ensuring the firm is prepared for annual audits and periodic regulatory cycles.

   

The Skills You Bring

• Bachelor's degree in Accounting, Finance, or related field
• 4-6 years of experience
• CPA License (certified public accountant)
• Public Accounting/Audit Background
• Knowledge of U.S. Generally Accepted Accounting Principles (GAAP).
• Oracle Fusion Cloud or related ERP
• Self-motivated and entrepreneurial mindset.
• Strong analytical and problem-solving skills.
• Detail-oriented and proficient in accounting.
• Independent thinker with excellent interpersonal and leadership abilities.

   

What Makes You Stand Out

• FINRA Series 27 (Financial and Operations Principal)
• Strong working knowledge of SEC rules and regulations, primarily SEA Rule 15c3-1 (Net Capital Rule)
• Oracle Fusion Cloud accounting experience
• Financial controls and SOX experience
• Ability to interpret regulations and apply them to business initiatives
• Experience working independently and handling complex, non-routine issues

Contact information

Brian Keane