Job Description
My client is looking for a VP broker-dealer financial reporting to join its legal entity control division in New York City.
This team has a key role in the USA providing support in financial, management and regulatory reporting to the bank. In addition, by its nature as a primary control and support group in the region, the finance team provides business information supporting projects and initiatives often as the liaison with the other groups and segments
The successful candidate will be responsible for the team's effort in accurate and timely reporting of its IFRS and GAAP books and records and regulatory filings for its. broker-dealers as well as non-broker dealers. Specific responsibilities will include, but are not limited to:
* Assist in the coordination, preparation and management of our timely month end close.
* Review month end balance sheet & income statement for respective product areas ensuring product controllers reconciliations are accurate with respect to correct GAAP & regulatory treatment.
* Oversee preparation of financial reporting package to facilitate senior management review as part of the monthly FOCUS process.
* Liaise with all external & internal audit counterparts as well as operations and financial operations teams. Responsible for efficiently driving audits to completion.
* Help implement strategic technology builds and changes in reporting paradigms, including changes in reports as dictated by management and regulators.
* Ensure adherence to corporate governance policies related to End User Computing (EUC), Standard Operating Procedures (SOP) and Account Reconciliation (ARCS)
* Analyze financial information with a key focus on control and compliance and addressing new requirements, including new reporting alongside accounting policy.
* Understand, manage, book and reconcile transfer pricing and intercompany transactions.
* Assist with the controls over intercompany activity across entities.
* Prepare for and assist with monthly close flux analysis meetings
* Oversee a team of 3 people as related to legal entity control and some corporate and financial reporting functions.
JOB REQUIREMENTS/QUALIFICATIONS
* Bachelor's Degree in accounting
* 8+ year post undergraduate experience preferred in a similar role, preparing financial statements at a broker dealer.
* FINRA Series 27 preferred but not required. Working knowledge of broker-dealer regulatory environment is a must.
* Understanding of Fixed Income/Equity products a plus
* CPA or CFA candidate a plus
* Organized, detail oriented and self-motivated individual with strong analytical skills
* Highly proficient with Microsoft Excel and knowledge of advanced analytical solutions (Alteryx, UI Path, Power Query, a plus.
* Ability to work within deadlines while still providing a high-quality work product