A financial services enterprise that owns and operates a network of industry-leading firms that empower independent financial advisors is seeking a Controller to lead accounting, financial reporting, and regulatory operations for a growing Wealth Management and Broker-Dealer firm. This individual will oversee core accounting functions, ensure SEC and Client compliance, maintain internal controls, and provide financial support to leadership. The ideal candidate will have strong broker-dealer reporting experience and knowledge of net capital requirements.
Responsibilities
•Manage daily accounting operations including general ledger, AP/AR, payroll, fixed assets, and month-end close
•Prepare monthly, quarterly, and annual financial statements in accordance with GAAP
•Support budgeting, forecasting, and cash flow management
•Develop financial reporting packages for leadership and stakeholders
•Coordinate audits, tax filings, and regulatory examinations
Qualifications
•Bachelor's degree in Accounting, Finance, or related field
•3 –8 years of accounting or finance experience within Financial Services, Wealth Management, or RIA and Broker-Dealer environments
•Strong knowledge of broker-dealer reporting, FOCUS reports, Client and Client/SEC regulations
•Experience with introducing broker-dealer structures and net capital requirements
•Advanced GAAP and financial reporting knowledge
•Strong Excel and accounting systems experience
•Experience managing audits and regulatory reviews
Controller • Chicago, IL, US
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