Manager, Broker-Dealer & Regulatory Finance
About The Position
The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory requirements for the firm’s broker-dealer and regulated international operations. This role ensures that all financial reporting, regulatory capital calculations, statutory filings, and compliance requirements are met accurately and timely across jurisdictions. The Manager will serve as the primary liaison with external auditors and regulatory compliance partners on all matters related to the firm’s regulated entities. The Manager will be a part of the Corporate Accounting team and will have opportunities to expand their role. The team operates in a technology-forward environment that actively leverages AI and automation tools. Successful candidates will have a strong background in U.S. GAAP, regulatory reporting, and U.S. and international regulatory compliance within the asset management or financial services industry. Experience overseeing outsourced or third-party accounting providers is preferred. The Manager should possess excellent analytical skills and a solution-oriented mindset with the ability to operate independently.
Requirements
- Minimum of 5+ years of experience in accounting and regulatory compliance within the asset management or financial services industry. Experience with regulated entities preferred.
- Bachelor’s degree or higher – Accounting, Finance, or related field. CPA preferred.
- Strong knowledge of U.S. GAAP and familiarity with SEC, FINRA, and/or other international regulatory frameworks.
- Effective oral and written communication skills, able to work across international teams and stakeholders.
- Ability to prioritize, multi-task, and meet internal and external regulatory deadlines with a high degree of accuracy.
- Advanced proficiency in Excel and strong aptitude for learning new technology platforms.
Nice To Haves
- SIE, Series 27, or willingness to obtain is a plus.
- Experience with financial systems (Sage Intacct and FloQast preferred) and comfort adopting AI, automation, and data analytics tools.
Responsibilities
- Lead the month-end and quarter-end close process across regulated entities, including broker-dealer and international operations, including review of journal entries, reconciliations, and financial statements prepared internally or by external service providers.
- Ensure timely and accurate regulatory capital calculations and required broker-dealer and international statutory filings.
- Maintain the integrity of the general ledger in compliance with U.S. GAAP and applicable regulatory requirements, and support reconciliation between U.S. GAAP and local statutory reporting frameworks as needed.
- Support revenue recognition and contract accounting matters for regulated entities, including intercompany fee arrangements and allocations.
- Develop, implement, and enhance accounting policies, procedures, and internal controls to address regulatory changes and operational risk.
- Manage the intercompany expense allocation and settlement process across global regulated entities.
- Partner cross-functionally with operations, treasury, tax, legal/compliance, and external service providers to drive timely deliverables.
- Lead and manage internal and external audits, including preparation of supporting documentation and responses to regulatory inquiries.
- Identify and implement process improvements, including opportunities to enhance reporting efficiency through technology and automation tools.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Manager
