Sr. Associate, Accounting - Advisory and Brokerage Controllers

Capital One • Wilmington, DE

80d • $86,000 - $107,900

About The Position

This role will assume the ownership of accounting and data management related to brokerage transactions for the Advisory & Brokerage Controllers team. Candidates should have the ability to manage priorities and meet deadlines in a fast-paced environment. They should be able to develop strong relationships with key business partners. Additionally, candidates should possess the ability to identify technology options and drive implementation of automation solutions.

Requirements

• Bachelor's degree or military experience.
• At least two years of accounting or securities industry experience or a combination.

Nice To Haves

• Financial Industry Regulatory Authority Series 7, 10, 27, 24, 99 or any combination.
• Bachelor's degree in Accounting or Finance.
• Master's degree in Accounting or Finance.
• 3+ years of accounting or securities industry experience or a combination.

Responsibilities

• Record journal entries and assists with monthly reconciliations and variance review.
• Perform month-end close and financial reporting processes timely and accurately.
• Review month end trial balances and affiliate balances to ensure reporting accuracy.
• Performs daily trade reviews and trade reconciliations.
• Manages ad hoc requests.
• Assists with preparing monthly FINRA FOCUS and quarterly Supplemental Statement of Income (SSOI) reports.
• Prepares and assists with response to audit requests from various regulatory bodies including internal / external auditors, SEC, FINRA, and State of Louisiana.
• Prepares additional regulatory reporting as requested.
• Completes ad hoc financial reporting to internal stakeholders.
• Prepares quarterly call report inputs.
• Actively engage in and drive results for internal projects and initiatives.
• Assists in implementing infrastructure for new products from a financial reporting and operational perspective.
• Ability to obtain Series 99 license within one year of joining the team.

Benefits

• Comprehensive health benefits.
• Financial benefits including performance-based incentive compensation.
• Inclusive set of benefits that support total well-being.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree