Principal Accountant

About the Department

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 that may arise such as business combinations and closures, requests for unaudited financials, process/policy/procedure reviews, etc. The group is also expected to serve as a business support and coordinate the finance and accounting needs of those business groups.

Responsibilities

• Prepare and/or review regulatory reporting filings:
  • US - FINRA FOCUS reports, Banking Call Reports in several jurisdictions, Dept of Treasury TIC-B, and various Dept of Commerce reports and US Census reports.
  • Canada – OSC M4 and BCAR, CIRO Form 1, OSFI OCFS, ICAAP, StatsCanada
  • Bahamas/Cayman – SCB, Central Bank of the Bahamas, CIMA
• 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 several key areas of the business, including Investment Advisory, Business Administration, Broker/Dealer, High Net Worth Wealth Management, Transfer Agency, and Internal Operations
• Handle other unidentifiable finance requests required by the business

Requirements

• BA required; MA preferred
• 5 years preferred; 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 preferred (series 99 specifically)
• Excel expertise

Schedule

This role will work a hybrid schedule in office 3 days/week.

Pay

We expect the annual salary for this position to range 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
• Recognition rewards
• Comprehensive disability benefits
• Reimbursement for certain education expenses
• Paid time off for holidays, sick leave, parental & caregiving leave, bereavement, volunteering, and floating holidays
• Motivational wellbeing program