Manager, Accounting

About the position

We are seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible for managing a team of accounting professionals, balancing multiple priorities, and meeting deadlines in a fast paced, time sensitive environment. Candidates must be able to develop strong relationships with key business partners. Additionally, candidates should possess the ability to identify process improvement and technology options and assist in implementation of automation solutions.

Responsibilities

• Oversee monthly closes process
• Prepare internal & external financial statements and variance analysis
• Prepare regulatory filings (FOCUS reports, SIPC reports, etc.)
• Perform regulatory net capital computation and ensure compliance with regulatory guidance
• Responsible for monthly account reconciliations review
• Manage line of business incentive plans
• Coordinate various internal stakeholders (Operations, FP&A, business leaders) to ensure accurate reporting and adherence to regulatory guidance
• Review intercompany management fees
• Other broker-dealer accounting responsibilities as assigned
• Support external and internal audits as well as regulatory exams
• Develop team financial talent and bench-strength and manage employee development and training
• Participate in challenging project initiatives with the team
• Support automation and data transformation efforts
• Identify and drive process efficiencies
• Ability to adhere to strict deadlines for monthly closes and regulatory reporting
• Ability to manage complex financial, reporting and regulatory matters or processes
• Ability to develop, establish, and operate financial policies and procedures
• Due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
• Currently has, or is in the process of obtaining, a Series 27 Securities License with the expectation that license will be obtained within six months of hire

Requirements

• Bachelor's degree in Accounting or military experience
• At least 3 years of Accounting experience
• At least 3 years of broker dealer experience
• At least 2 years of experience in people management

Nice-to-haves

• Master's degree in Finance or Accounting
• 5+ years of securities industry experience
• Financial Industry Regulatory Authority Series License 7,10, 24, 27, or a combination

Benefits

• Comprehensive health benefits
• Financial benefits
• Other benefits that support total well-being