Controller - Capital Markets & Brokerage

Key Responsibilities

Lead monthly, quarterly, and annual close processes for both broker-dealers. Oversee preparation and review of GAAP financial statements and related disclosures. Manage internal and external audits. Ensure accurate accounting for trading, underwriting, securities financing, advisory, and commission-based activities. Maintain strong internal controls, accounting policies, and financial reporting governance. Provide accounting leadership for new products, business growth initiatives, and acquisitions. Lead and develop accounting professionals while fostering a culture of accountability and continuous improvement.

Required Qualifications

• Bachelor's degree in Accounting or Finance
• Significant broker-dealer accounting and financial reporting experience
• Strong knowledge of U.S. GAAP, financial instruments, and broker-dealer operations
• Experience managing PCAOB audits and audited financial statements
• Working knowledge of SEC Rule 17a-5, SEC Rule 15c3-1, and SEC Rule 15c3-3

Preferred Qualifications

• Experience supporting both introducing and self-clearing broker-dealers
• Background in fixed income trading, underwriting, repo/reverse repo, or securities financing activities
• Acquisition and integration experience
• Exposure to equity trading, equity underwriting, or prime brokerage businesses
• CPA preferred
• FINRA License Series 27

Location Requirements

This role requires working from a U.S. Bank location three (3) or more days per week.

Benefits

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from two to five weeks depending on salary grade and tenure)
• Up to 11 paid holiday opportunities
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Pay Range

$143,905.00 - $169,300.00