Associate Director

Job Description

Our client is a leading digital investment platform. They seek an Associate Director to join their Manhattan, NY office.

Responsibilities

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• Execute key components of the monthly and quarterly close across multiple entities
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• Prepare and review journal entries, account reconciliations, and variance analyses
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• Resolve reconciliation breaks across sub-ledgers and the general ledger
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• Deliver timely and accurate financial reporting within a multi-entity, regulated environment
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• Support preparation of regulatory filings, including 17a-5 and 15c3-1 reports
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• Apply broker-dealer accounting across revenue streams such as trading commissions, PFOF, and advisory fees
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• Assist with daily and monthly net capital calculations and ongoing regulatory compliance
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• Coordinate with Compliance and Finance on evolving SEC, FINRA, CFTC, and NFA requirements
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• Facilitate audit processes by preparing PBC support, responding to auditor inquiries, and addressing control gaps
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• Manage intercompany and consolidation activities, including allocations, eliminations, and financial statement preparation
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Requirements

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• Bachelor’s degree in Accounting, Finance, or related field
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• 4-6+ years of accounting experience
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• Broker-dealer experience required
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• Financial services industry
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• Strong hands-on experience with monthly close and account reconciliations
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• Direct experience supporting external audits
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• Solid understanding of U.S. GAAP and internal control frameworks
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• Familiarity with SEC / FINRA reporting requirements
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• Strong Excel skills with the ability to work across large datasets
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• CPA highly preferred
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• FINRA Series 27 is a plus
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JobID: 48180