Director, Accounting & Regulatory Reporting
BTGPactual International•New York, NY
•$160,000 - $210,000
About The Position
BTG Pactual US Capital, LLC is seeking a Director, Accounting & Regulatory Reporting to join their Finance function. This is a hands-on technical leadership role responsible for net capital, regulatory reporting, and U.S. GAAP financial reporting for the broker-dealer. The Director will also manage and develop the existing team, acting as a 'player-coach' by remaining directly involved in the underlying work. The firm operates with a flat, meritocratic culture emphasizing intellectual capital, entrepreneurship, and meritocracy.
Requirements
- Bachelor’s degree in Accounting, Finance, or a related field.
- Deep, hands-on expertise in U.S. broker-dealer accounting and net capital / customer reserve computations under SEC Rules 15c3-1 and 15c3-3.
- Substantial, progressive experience in broker-dealer finance and regulatory reporting (introducing or clearing broker-dealer environment, Big 4/audit practice serving broker-dealers, or a regulator such as FINRA/SEC).
- Strong Excel and PowerPoint skills, and comfort adopting AI-enabled tools to automate manual processes and improve efficiency.
- Demonstrated people-management experience, including managing distributed or outsourced team members.
- Excellent communication and interpersonal skills; comfortable operating in a flat, high-accountability culture and communicating regularly with global head-office stakeholders.
- Ability to manage multiple concurrent projects under pressure, with strong attention to detail and organizational skills.
Nice To Haves
- CPA is a plus but not required.
- Series 27 (Financial and Operations Principal) is a plus; if not currently held, certification will be required within the first year of employment.
- Portuguese language proficiency is strongly preferred given daily coordination with head office in Brazil; Spanish proficiency may also be considered.
- Prior experience with a broker-dealer’s transition from introducing to self-clearing, or direct experience with clearing-broker regulatory reporting (e.g., the full customer reserve formula, possession or control requirements).
- Experience preparing FOCUS Reports and exemption reports.
Responsibilities
- Own and review the firm’s net capital computation (Rule 15c3-1) and manage the firm’s current Rule 15c3-3(k) exemption determinations and monthly FOCUS Report filings.
- Prepare and review U.S. GAAP financial statements and supporting schedules for the annual X-17A-5 filing.
- Manage the relationship with external auditors and coordinate the annual audit, exemption report, and related compliance review processes.
- Partner with Compliance and Operations to remediate and prevent exemption exceptions and to strengthen the control environment ahead of the planned transition to self-clearing.
- Lead technical accounting analysis for new products and business lines.
- Support the CFO on the firm’s clearing-broker transition project, including net capital modeling, build-out of the customer reserve formula, and broader regulatory readiness work.
- Manage and develop a team of 1 Associate Director and 2 Analysts, including coordination of the Brazil-based outsourced resources, ensuring quality and timeliness across all deliverables.
- Drive automation and process efficiency using Excel, PowerPoint, and AI-enabled tools to reduce manual work in reporting, reconciliations, and month-end close.
- Serve as a key point of contact with head office in Brazil on accounting policy, reporting, and consolidation matters.
- Support regulatory examinations and inquiries (SEC, FINRA, CFTC/NFA) and internal audit requests as needed.
Benefits
- Base salary ranging from $160,000 to $210,000
- Performance-based bonus
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
Upload and Match Resume
What This Job Offers
Job Type
Full-time
Career Level
Director
