What are the responsibilities and job description for the Director, Broker Dealer Controller position at Abacus Group, LLC?
Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office.
Responsibilities
- Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US GAAP, IFRS, and regulatory standards
- Lead a multi-location accounting team supporting U.S. broker-dealer and affiliated entity financial operations
- Validate revenue, expense, and balance sheet reporting to ensure accurate financial statement presentation under US GAAP and IFRS
- Collaborate with head office finance control teams to support reporting, controls, and disclosure requirements
- Liaise with regulators, external auditors, and internal audit teams to manage inquiries and ensure the timely resolution of audit matters
- Oversee all internal and external audit activities, including coordination, deliverables, and closure of audit findings
- Strengthen internal control frameworks and governance structures to maintain audit readiness and regulatory compliance
- Monitor adherence to policies, procedures, and reporting requirements across U.S. broker-dealer entities
- Advise on complex transactions, new products, and accounting standards in partnership with cross-functional stakeholders
- Drive finance transformation initiatives, including ERP enhancements, automation, analytics, and AI-enabled process improvements
Requirements
- 10 years relevant experience
- Combo or private experience
- Experience with financial products across capital markets, wealth management, and retail banking
- In-depth experience and knowledge of IFRS and GAAP accounting requirements
- Strong understanding of regional and global P&L reporting
- General understanding of SEC and FINRA regulatory reports
- CPA is preferred
- Series 27 is a plus
JobID: 48363
Salary : $175,000 - $260,000