Director, Broker Dealer Controller

About the role

The U.S. broker-dealer controller will lead the teams responsible for all day-to-day general accounting matters for the U.S. Broker Dealers (RBC Capital Markets LLC and RBC CMA Ltd.). This includes the month/quarter/year-end close processes, general ledger administration, reconciliation, and financial analysis/reporting. The role serves as liaison with external auditors and key regulatory contacts (e.g., SEC, FINRA, CFTC, NFA) and enhances and oversees a strong internal control environment. The controller will drive collaboration, communication, and innovation across the department to promote talent development and enhance skillsets within the U.S. Finance department. This role also supports enterprise-wide initiatives and research to ensure adherence to US GAAP/IFRS accounting and SEC/FINRA regulatory reporting requirements.

Responsibilities

• Lead and provide oversight of all month-end close and financial reporting processes, ensuring accuracy, timeliness, and adherence to US GAAP, IFRS, and regulatory standards for the U.S. Broker Dealer and affiliated entities.
• Lead and oversee the multi-locational team responsible for the accounting functions for the U.S. Broker Dealers and other affiliated entities.
• Ensure revenue, expense, and balance sheet balances are accurately reflected according to both US GAAP and IFRS standards.
• Maintain a strong partnership with all Head Office Financial Control functions to support high-volume reporting, control, and disclosure requirements.
• Serve as principal liaison with regulators (FINRA, SEC, CFTC, NFA), external auditors, and RBC’s internal audit function, ensuring transparency and timely resolution of audit inquiries.
• Act as the key point of contact for all internal and external audit relationships for the Broker Dealers and manage all aspects of the annual external audit, ensuring timely closure of outstanding audit points.
• Continuously enhance a strong internal control environment and governance framework for the U.S. Broker Dealers and affiliated entities, ensuring robust controls and audit readiness.
• Oversee compliance monitoring with policies, procedures, and reporting requirements for RBC’s U.S. broker-dealers: RBC Capital Markets LLC and RBC CMA Ltd.
• Provide subject matter expert guidance on structuring complex transactions and new product initiatives, partnering with key functional groups (e.g., Legal, Operations, Compliance, Tax, Product Control, and Accounting Policies).
• Lead impact assessment and implementation of new accounting pronouncements, aligning stakeholders for consistent application across U.S. business platforms.
• Communicate financial results and regulatory calculations to senior management clearly and concisely, providing interpretation and guidance.
• Drive finance transformation initiatives, including integrating finance ERP systems, automation, analytics, and optimizing the finance operating model.
• Promote efficiency through AI initiatives and cross-organizational collaboration.
• Set clear, ambitious team and individual goals aligned with organizational priorities, simplifying work and removing barriers to performance.
• Ensure employees understand RBC’s purpose, values, and behaviors to elevate collective performance with measurable outcomes.
• Foster a safe, inclusive, and accessible environment that reinforces belonging, trust, and well-being.
• Exemplify RBC leadership behaviors by taking ownership, acting with a global mindset, and making decisions that serve the broader organization.
• Contribute to an exceptional employee experience through strong people leadership, investing in potential, providing honest feedback, and removing performance barriers.

Requirements

• Minimum 10 years’ experience within a financial services/broker-dealer environment, with a comprehensive understanding of financial products across Capital Markets, Wealth Management, and Retail Banking.
• CPA and Series 27 preferred; advanced degree in Accounting, Finance, or Business is a plus.
• In-depth experience and knowledge of IFRS and GAAP accounting requirements.
• Proven ability to lead teams, influence in a global-matrixed environment, and operate effectively at the executive and board level.
• Strong understanding of regional and global P&L reporting.
• General understanding of SEC and FINRA regulatory reports.

Skills

• Clear, confident communicator with the ability to distill complexity into actionable insights and influence senior stakeholders internally and externally.
• Strong operational discipline with a bias toward execution, accountability, and enhancing controls.
• Strong collaboration and relationship management skills.
• Ability to navigate and excel in a matrix management environment.
• Accounting, Accounting Finance, Decision Making, Financial Planning and Analysis (FP&A), Long-Term Planning, Oral Communications, Organizational Savvy, Strategic Thinking, Team Management, Time Management.

Benefits

• A comprehensive Total Rewards Program, including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable.
• Leaders who support development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• A world-class training program in financial services.
• Flexible work/life balance options.
• Opportunities to do challenging work.

Pay

The expected salary range for this position is $160,000 - $260,000, depending on factors such as candidate experience, skills, registration status, market conditions, and business needs. This range does not include discretionary bonuses or benefits, such as a 401(k) program with company-matching contributions; health, dental, vision, life, and disability insurance; and paid time-off.

Schedule

• Full-time role (40 hours per week).
• Regular, salaried position based in the office (Goldman Sachs Tower, 30 Hudson Street, Jersey City, United States).