Director, Accounting & Regulatory Reporting

Key Responsibilities

• Own and review the firm’s net capital computation (Rule 15c3-1) and manage the firm’s current Rule 15c3-3(k) exemption determinations and monthly FOCUS Report filings.
• Prepare and review U.S. GAAP financial statements and supporting schedules (Statement of Financial Condition, Operations, Changes in Member’s Equity, Cash Flows) for the annual X-17A-5 filing.
• Manage the relationship with external auditors and coordinate the annual audit, exemption report, and related compliance review processes.
• Partner with Compliance and Operations to remediate and prevent exemption exceptions and to strengthen the control environment ahead of the planned transition to self-clearing.
• Lead technical accounting analysis for new products and business lines, including structured products, repo/reverse repo, and expanded international securities activity.
• Support the CFO on the firm’s clearing-broker transition project, including net capital modeling, build-out of the customer reserve formula, and broader regulatory readiness work.
• Manage and develop a team of 1 Associate Director and 2 Analysts, including coordination of the Brazil-based outsourced resources, ensuring quality and timeliness across all deliverables.
• Drive automation and process efficiency using Excel, PowerPoint, and AI-enabled tools to reduce manual work in reporting, reconciliations, and month-end close.
• Serve as a key point of contact with head office in Brazil on accounting policy, reporting, and consolidation matters.
• Support regulatory examinations and inquiries (SEC, FINRA, CFTC/NFA) and internal audit requests as needed.

Required Qualifications

• Bachelor’s degree in Accounting, Finance, or a related field.
• Deep, hands-on expertise in U.S. broker-dealer accounting and net capital / customer reserve computations under SEC Rules 15c3-1 and 15c3-3.
• Substantial, progressive experience in broker-dealer finance and regulatory reporting (introducing or clearing broker-dealer environment, Big 4/audit practice serving broker-dealers, or a regulator such as FINRA/SEC).
• Strong Excel and PowerPoint skills, and comfort adopting AI-enabled tools to automate manual processes and improve efficiency.
• Demonstrated people-management experience, including managing distributed or outsourced team members.
• Excellent communication and interpersonal skills; comfortable operating in a flat, high-accountability culture and communicating regularly with global head-office stakeholders.
• Ability to manage multiple concurrent projects under pressure, with strong attention to detail and organizational skills.

Preferred Qualifications

• CPA is a plus but not required.
• Series 27 (Financial and Operations Principal) is a plus; if not currently held, certification will be required within the first year of employment.
• Portuguese language proficiency is strongly preferred given daily coordination with head office in Brazil; Spanish proficiency may also be considered.
• Prior experience with a broker-dealer’s transition from introducing to self-clearing, or direct experience with clearing-broker regulatory reporting (e.g., the full customer reserve formula, possession or control requirements).
• Experience preparing FOCUS Reports and exemption reports.

Candidate Profile & Culture Fit

A genuinely hands-on operator willing to execute individual tasks personally, not solely a people-manager — this is a cultural expectation, not just a role requirement.

Entrepreneurial, low-ego, and comfortable in a flat structure where seniority is earned through contribution rather than title.

Resilient and adaptable, given rising business complexity and the pending clearing-broker transition.

Compensation Base salary ranging from $160,000 to $210,000 , plus performance-based bonus.