Job Description

Broker-Dealer FinOp / Senior Accounting Manager
Team: Financial Operations
Reports to: Corporate Controller
Last Updated: August 2025
Location: Remote
About the Company
We are a global financial firm operating a full-stack private investment platform for regulated digital assets--spanning primary issuance through secondary trading. Our business supports both retail and institutional investors and includes wallet infrastructure, enterprise digital advisory, and asset management offerings. We operate across multiple jurisdictions in North America, Europe, the Middle East, and Asia.
Role Overview
We're seeking an experienced Broker-Dealer FinOp / Senior Accounting Manager to own broker-dealer regulatory financial reporting while leading core accounting operations. This role ensures rigorous compliance with SEC/FINRA requirements, delivers accurate, timely financials in accordance with US GAAP, and strengthens liquidity and capital management across a dynamic, tech-forward financial organization.
Key Responsibilities
Broker-Dealer (Primary)
Prepare and file regulatory reports, including FOCUS, SSOI, Form Custody, Schedule 1, and SIPC.
Lead year-end 17a-5 audited financials and manage external audit engagements.
Ensure ongoing compliance with SEC/FINRA rules, including Net Capital (15c3-1) and, if applicable, Customer Protection (15c3-3).
Oversee month-end close activities that impact regulatory capital: journal entries, balance-sheet reconciliations, liquidity monitoring, and capital computations.
Coordinate responses to ad hoc requests, regulatory inquiries, and examinations.
Monitor regulatory developments and best practices; drive timely policy/process updates.
Accounting (Core)
Maintain accurate financial records, including general ledger entries and reconciliations.
Prepare monthly, quarterly, and annual financial statements in accordance with US GAAP.
Perform bank and clearing account reconciliations; investigate and resolve discrepancies.
Support budgeting, forecasting, and variance analysis; partner with FP&A on drivers and trends.
Coordinate with external auditors; compile and provide supporting documentation.
Process & Controls
Identify and implement process improvements that enhance close quality, speed, and control.
Strengthen internal controls over financial reporting (ICFR) and documentation standards.
Collaborate cross-functionally (Treasury, Operations, Product, Legal/Compliance) to align accounting treatment and regulatory capital impacts with business initiatives.
Qualifications
Bachelor's degree in Accounting, Finance, or related field.
Active FINRA Series 27 (Financial & Operations Principal) required.
5+ years of progressive accounting experience, including 3+ years with a carrying broker-dealer.
Deep knowledge of broker-dealer financial operations, regulatory reporting, and capital rules.
Proficiency with accounting/ERP systems (e.g., NetSuite, Oracle) and advanced Excel.
Strong analytical and problem-solving skills; impeccable attention to detail and organization.
Advanced knowledge of US GAAP and period-end close procedures; continuous improvement mindset.
Proven ability to work independently in a fast-paced environment with competing deadlines and to resolve complex operational/accounting challenges.
Nice to Have: Exposure to digital-asset markets, multi-entity environments, and data tooling (SQL/BI).
What Success Looks Like (30/60/90)
30 Days: Take ownership of monthly close checklists and core reconciliations; draft a gap assessment of current FOCUS/SSOI processes and controls.
60 Days: Deliver an optimized close calendar that shortens reporting timelines; document capital computation procedures and contingency steps.
90 Days: Lead quarter-end regulatory filings end-to-end with zero material audit comments; implement at least two automation or control enhancements.
Compensation
Base Salary: Very Competitive
Additional: Eligible for discretionary bonus and equity grants. Final compensation will be based on skills, experience, and location.

Skills Required