Director, Broker Dealer Controller

Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office.

Responsibilities

• Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US GAAP, IFRS, and regulatory standards
• Lead a multi-location accounting team supporting U.S. broker-dealer and affiliated entity financial operations
• Validate revenue, expense, and balance sheet reporting to ensure accurate financial statement presentation under US GAAP and IFRS
• Collaborate with head office finance control teams to support reporting, controls, and disclosure requirements
• Liaise with regulators, external auditors, and internal audit teams to manage inquiries and ensure the timely resolution of audit matters
• Oversee all internal and external audit activities, including coordination, deliverables, and closure of audit findings
• Strengthen internal control frameworks and governance structures to maintain audit readiness and regulatory compliance
• Monitor adherence to policies, procedures, and reporting requirements across U.S. broker-dealer entities
• Advise on complex transactions, new products, and accounting standards in partnership with cross-functional stakeholders
• Drive finance transformation initiatives, including ERP enhancements, automation, analytics, and AI-enabled process improvements

Requirements

• 10+ years relevant experience
• Combo or private experience
• Experience with financial products across capital markets, wealth management, and retail banking
• In-depth experience and knowledge of IFRS and GAAP accounting requirements
• Strong understanding of regional and global P&L reporting
• General understanding of SEC and FINRA regulatory reports
• CPA is preferred
• Series 27 is a plus

JobID: 48363