Financial Controller

Position Overview

A Chicago-based financial services company is currently seeking an experienced Controller to oversee accounting, compliance, treasury, and HR operations. This high-impact role ensures the firm's financial integrity, regulatory precision, and smooth day-to-day operations. The position is based at our Chicago headquarters.

Key Responsibilities

• Accounting & Finance: Lead all accounting operations including financial reporting, payables, receivables, payroll, and GAAP compliance. Prepare monthly, quarterly, and annual financial statements. Maintain and track budgets, KPI's and have strong handle on the business. Establish and maintain strong internal controls.
• Audit & Tax: Coordinate annual audit activities and tax filings.
• Regulatory & Compliance: Prepare and submit FOCUS/SSOI reports, SIPC/SEC filings, and FINRA filings. Lead FINRA audits and ensure deadlines are met through proactive monitoring of the Firm Gateway.
• Treasury Management: Reconcile bank and investment accounts monthly, manage intercompany reconciliations, oversee cash flow, wire transfers, and vendor payments.
• Human Resources: Manage onboarding, payroll, benefits, and 401(k)/profit-sharing plans. Oversee open enrollment, COBRA, insurance renewals, workers' comp audits, and HR systems. Review employee background checks, I-9s, and maintain compliance records.
• General Administration: Negotiate vendor contracts, oversee insurance coverage, and manage office administration. Contribute to firm strategy sessions.
• Assist with contracts, profitability, compensation, bonus plans, margins, etc.
• Collections, policy and procedures.

Qualifications

• 10+ years of progressive accounting experience; prior Controller or more senior role strongly preferred.
• Bachelor's or Master's degree in Accounting; CPA preferred.
• Financial or professional services background, ideally within a regulated environment.
• Strong technical accounting skills and knowledge of financial systems.
• Highly organized, detail-oriented, and effective in working with senior management, auditors, regulators, and staff.
• Proactive, consistent with firm core values of integrity, respect, accountability, teamwork, quality control and resourcefulness

Why Join Us?

• This is a rare opportunity to have broad oversight in a growing financial services firm where your work will directly impact leadership decisions, regulatory standing, and firm-wide operations. You'll join a collaborative, entrepreneurial culture where financial discipline and strategic insight are highly valued.