Director, Financial Controller
About The Position
Step into a high-impact leadership position where you’ll shape the financial direction of our organization and make your mark across multiple legal entities. As Director, Financial Controller, you’ll harness your CPA and Series 27 credentials alongside your deep broker-dealer expertise to drive excellence. This is your opportunity to use your standout analytical, compliance, and leadership skills in a role that values innovation and continuous improvement. If you thrive on attention to detail, excel at handling key partner relationships, and are eager to champion change in a dynamic environment—this role is designed for you. Join us and be empowered to grow, lead, and make a lasting difference. This pivotal Finance role ensures the integrity of financial control and regulatory reporting, safeguarding the business’s compliance and capital strength across North America. The successful candidate will drive operational excellence and cultivate collaboration, directly shaping the organization’s reputation and resilience in a dynamic environment.
Requirements
- CPA
- Series 27 credentials
- Deep broker-dealer expertise
- Financial acumen and hands-on experience with financial control and regulatory reporting.
- Strong understanding of broker-dealer regulations, including FINRA Series 27 and Net Capital Rule 15c3-1.
- Proven experience in financial controls and reporting within regulated environments.
- Knowledge of banking products and markets.
- Track record in reporting for FINRA/SEC organizations.
- Regulatory expertise and governance awareness.
- Ability to work independently or within collaborative teams; sound judgement.
- Attention to detail and high-quality delivery under deadlines.
- Skill in identifying and raising compliance issues.
- Strong analytical and clear communication abilities.
- Confidence engaging senior leadership and partners.
- Organizational and interpersonal skills for cross-functional partnership.
- Sophisticated Microsoft Office skills (Excel, PowerPoint).
Responsibilities
- Safeguard integrity and compliance across multiple entities, ensuring reliable controls and reporting to support capital strength and operational excellence.
- Lead financial control and regulatory reporting, acting as a key advisor to partners and ensuring compliance and accurate data.
- Maintain the integrity of broker-dealer records, ensuring capital adequacy and regulatory standards, proactively handling risks.
- Deliver timely, accurate regulatory and management reporting for US Global Markets, supporting transparency and confidence.
- Supervise month-end close, ensuring accurate financials and robust local controls.
- Build partnerships with auditors, regulators, and compliance teams, taking ownership of remediation and FINOP duties.
- Develop and inspire a high-performing Finance team, driving innovation, automation, and collaboration to add new value.
- Shape strategies, strengthen compliance, and support business growth.
Benefits
- Comprehensive health coverage with multiple medical plan options, including an HSA‑eligible plan with company contributions
- dental, vision, and 24/7 virtual care
- Strong financial benefits including a 401(k) with company match and discretionary contribution
- company‑paid life insurance
- short‑ and long‑term disability coverage
- Family and life support such as paid family leave
- backup child and elder care
- employee assistance programs
- identity theft protection
- Wellness and lifestyle benefits including fitness programs
- gym reimbursement options
- pet insurance
- group legal services
- Ongoing training, development, mentoring, and networking opportunities
- Opportunities to give back through volunteering and fundraising initiatives
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
Number of Employees
1-10 employees
