Job Description

What We Offer/Positives:

• Play an integral strategic leadership role with a growing Secruities Broker/Dealer firm, that provides capital solutions to corporate, governmental, and institutional clients nationwide. They take care of their employees, and have seen success and growth for over 100 years. This is a succession planning opportunity.

• In-office collaboration with flexibility for occasional remote work.

• Competitive compensation: $120,000–$160,000 total compensation.

• Medical, dental, and vision benefits; HSA/FSA options.

• 401(k) with Roth and traditional options.

• Employer-funded life and partial long-term disability insurance.

• Paid time off and holidays.

• Professional development support, including license/certification funding and industry conference opportunities.

Company:

This family-owned, client-focused financial institution provides capital solutions to corporate, governmental, and institutional clients nationwide, with a mission to support community growth and enhance prosperity. The firm engages in debt and equity capital markets, securities underwriting, and maintains a robust distribution network, while also facilitating dynamic trading and leading in the remarketing of variable-rate demand obligations (VRDOs). A team of bankers, traders, and professionals serve clients from its headquarters and strategic locations across the country.

Key Responsibilities

An established investment broker/dealer is seeking an experienced and detail-oriented Controller to join its finance and accounting team. This leadership role is responsible for overseeing financial operations, ensuring compliance with GAAP, SEC, and FINRA regulations, and delivering timely and accurate reporting. The Controller will manage a small team and play a key role in financial strategy, systems optimization, and regulatory compliance.

• Lead accounting operations, including AP/AR, payroll, and general ledger.

• Ensure accuracy in financial reporting and compliance with GAAP and regulatory requirements.

• Assist with financial analysis, budgeting, and strategic decision-making.

• Oversee tax filings and regulatory reporting, serving as the FINRA Principal Financial Officer.

• Maintain and improve internal controls, accounting systems, and processes.

• Optimize use of accounting software (Microsoft Dynamics/Great Plains, Management Reporter, ActivReporter).

• Collaborate with executive leadership on strategic initiatives and special projects.

• Lead, mentor, and develop a small accounting team.

Qualifications

• Bachelor’s degree in Accounting required; Master’s preferred.

• CPA required.

• 5–7+ years of accounting and finance experience (preferably in a FINRA-member firm).

• Familiarity with SEC/FINRA regulatory capital rules preferred; Series 27 license a plus.

• Strong technical skills in GAAP, financial reporting, and tax compliance.

• Proficiency in Microsoft Office (especially Excel) and accounting systems (Great Plains preferred).

• Excellent leadership, organizational, and communication skills.

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