Controller - Capital Markets & Brokerage

U.S. Bank • Saint Louis, MO

8d • Hybrid

About The Position

Reporting directly to the Broker-Dealer CFO. The Broker-Dealer Controller is a senior finance leader and is responsible for operational accounting, financial reporting, and internal controls for introducing retail brokerage broker-dealer and a self-clearing capital markets broker-dealer.

Requirements

• Bachelor's degree in Accounting or Finance.
• Significant broker-dealer accounting and financial reporting experience.
• Strong knowledge of U.S. GAAP, financial instruments, and broker-dealer operations.
• Experience managing PCAOB audits and audited financial statements.
• Working knowledge of SEC Rule 17a-5, SEC Rule 15c3-1, and SEC Rule 15c3-3.

Nice To Haves

• Experience supporting both introducing and self-clearing broker-dealers.
• Background in fixed income trading, underwriting, repo/reverse repo, or securities financing activities.
• Acquisition and integration experience.
• Exposure to equity trading, equity underwriting, or prime brokerage businesses.
• CPA preferred.
• FINRA License Series 27.

Responsibilities

• Lead monthly, quarterly, and annual close processes for both broker-dealers.
• Oversee preparation and review of GAAP financial statements and related disclosures.
• Manage internal and external audits.
• Ensure accurate accounting for trading, underwriting, securities financing, advisory, and commission-based activities.
• Maintain strong internal controls, accounting policies, and financial reporting governance.
• Provide accounting leadership for new products, business growth initiatives, and acquisitions.
• Lead and develop accounting professionals while fostering a culture of accountability and continuous improvement.

Benefits

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from two to five weeks depending on salary grade and tenure)
• Up to 11 paid holiday opportunities
• Adoption assistance
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

What This Job Offers

• Job Type: Full-time
• Career Level: Senior