Principal Accountant

The group reports directly to the Chief Accounting Officer over the Americas region and is primarily responsible for US regulatory reporting, preparation of stand-alone audited financials, supporting the legal entity teams, and other periodic tasks such as impairment reviews and capital transactions. The group also handles unforeseen financial projects like business combinations and closures, requests for unaudited financials, process/policy/procedure reviews, etc. The group serves as a business support and coordinates the finance and accounting needs of various business groups.

About The Department

• Oversee US regulatory reporting functions, including FINRA FOCUS reports, Banking Call Reports, Dept of Treasury TIC-B, various Dept of Commerce reports, and US Census reports.
• Prepare and/or review regulatory reporting filings for Canada – OSC M4 and BCAR, CIRO Form 1, OSFI OCFS, ICAAP, StatsCanada.
• Oversee and compile several stand-alone audited financials, and work with auditors to fulfill specific audit requests.
• Oversee and coordinate capital transactions with other finance teams (intercompany dividends and capital infusions to subsidiaries).
• Provide business support, internal reporting, and analysis covering key areas of the business, including Investment Advisory, Business Administration, Broker/Dealer, High Net Worth Wealth Management, Transfer Agency, and Internal Operations.
• Handle other unidentified finance requests as directed by the business.

What will help you be successful in this role

• Bachelor's degree (BA) required; Master's degree (MA) preferred.
• 5+ years of industry experience.
• Sound understanding of US GAAP.
• Prior history with regulatory reporting.
• Highly analytical.
• Open-mindedness to new ideas and processes.
• CPA required.
• FINRA registered (series 99 specifically) preferred.
• Excel expertise.

Work Schedule & Location

This role will work a hybrid schedule in our San Mateo, Pasadena, or Baltimore office 3 days/week.

Pay

The annual salary for this position ranges between $115,000 – $150,000, depending on location and level of relevant experience, plus discretionary bonus.

Benefits

• Paid Time Off: Three weeks of PTO in your first year.
• Health Coverage: Competitive medical, dental, and vision insurance to support your well-being.
• Retirement Savings: 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits.
• Equity & Investing: Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities.
• Learning Education Assistance Program (LEAP): To support your ongoing growth and career advancement.
• Employee Investment Benefits: Opportunity to purchase company funds with no sales charge.
• Wellbeing Program: Motivational wellbeing program.