Controller - Capital Markets & Brokerage

U.S. Bank • St. Louis, MO

4d • $143,905 - $169,300 • Hybrid

About The Position

U.S. Bank is seeking an accomplished and strategic finance executive to serve as Controller -Capital Markets & Brokerage, reporting directly to the Broker-Dealer CFO. This highly visible leadership role offers the opportunity to oversee accounting, financial reporting, regulatory compliance, and control environment for both introducing retail brokerage broker-dealer and a self-clearing capital markets broker-dealer. This position is ideal for a leader who thrives in complex trading and brokerage environments and wants to influence business growth, product innovation, acquisitions, and enterprise-wide strategic initiatives. The successful candidate will partner closely with executive leadership, business line leaders, risk, treasury, regulatory, and finance teams to support one of the industry's most sophisticated broker-dealer platforms.

Requirements

• Bachelor's degree in Accounting, Finance, or related discipline.
• Extensive experience leading accounting and financial reporting functions within a broker-dealer, investment banking, capital markets, or securities organization.
• Deep knowledge of U.S. GAAP, financial instruments, broker-dealer operations, and regulatory reporting requirements.
• Proven experience managing PCAOB audits and audited financial statements.
• Strong understanding of SEC Rule 17a-5, SEC Rule 15c3-1, and SEC Rule 15c3-3.
• Demonstrated success leading teams and building high-performing finance organizations.

Nice To Haves

• Experience supporting both introducing and self-clearing broker-dealers.
• Expertise in fixed income trading, underwriting, repo/reverse repo, securities financing, or related capital markets activities.
• Experience supporting acquisitions, integrations, and complex business transformations.
• Exposure to equity trading, equity underwriting, prime brokerage, or institutional markets businesses.
• Active CPA designation.
• FINRA Series 27 license.

Responsibilities

• Provide executive leadership for all accounting, financial reporting, and control activities across multiple broker-dealer entities.
• Direct monthly, quarterly, and annual close processes, ensuring accuracy, transparency, and timely reporting.
• Oversee the preparation and review of GAAP financial statements, regulatory reporting, and related disclosures.
• Serve as the primary accounting leader supporting businesses involved in fixed income trading, underwriting, securities financing, advisory services, and brokerage operations.
• Partner with senior business leaders to evaluate new products, strategic growth initiatives, and acquisitions from an accounting and financial reporting perspective.
• Lead external and internal audit activities, regulatory examinations, and interactions with key stakeholders.
• Drive continuous improvement across accounting processes, automation initiatives, governance practices, and control frameworks.
• Develop and mentor a high-performing team of accounting professionals while fostering a culture of excellence, accountability, and innovation.

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: Executive