Controller

Controller

Wealth Management/Family Offices (Financial Services)

Katonah, NY

Please note: Non-financial services industry experience will be considered for the right candidate

Company Overview:

Our client is a well-regarded and growing wealth management and Family Office firm known for its personalized approach, deep client relationships, and commitment to serving the complex needs of high-net-worth individuals and families. The firm currently manages over $1 billion in assets, with the vast majority managed on behalf of high-net-worth clients.

Our client is seeking a Controller to lead and manage all aspects of the firm’s accounting operations, including financial reporting, budgeting, SEC compliance, and internal controls. This individual will ultimately serve as a strategic partner to firm leadership, providing financial insights and oversight to support ongoing growth initiatives. In addition, the role will offer key support to the Family Office Services (FOS) team, assisting with the accounting and financial planning needs of select ultra-high-net-worth clients.

Responsibilities of the Controller:

Financial Reporting & Accounting

• Oversee day-to-day accounting operations, including accounts payable, accounts receivable, bank reconciliations, and general ledger entries

• Prepare monthly, quarterly, and annual financial statements

• Manage the firm’s budget and cash flow projections

• Oversee the firm’s tax filings

• Maintain accurate and up-to-date financial records, including preparation of a monthly reporting package for the partners

• Implement and maintain strong internal controls

SEC Compliance

• Ensure compliance with all applicable SEC regulations, including Form ADV filings and other required disclosures

• Monitor and address any regulatory changes that may impact the firm’s operations

• Advise the firm on regulatory matters related to accounting and finance

• Collaborate with the current compliance vendor to ensure best practices and provide additional support

Family Office Support

• Assist the Family Office Services team with the accounting and financial planning needs of select high-net-worth clients, including:

o Preparing personal financial statements

o Assisting with tax planning and preparation

o Providing financial modeling and budgeting support

Other Duties as Assigned

• Participate in special projects and ad hoc analyses as needed

• Assist with the implementation of new accounting systems and technologies

Qualifications of the Controller:

• Bachelor’s degree in Accounting or Finance

• CPA is a plus

• 7 years of experience in accounting and finance, including experience with wealth management and high-net-worth clients. (Other industries will be considered)

• Demonstrated experience navigating SEC compliance within a Family Office or wealth management setting, including preparing and maintaining Form ADV filings, monitoring regulatory developments, and partnering with external compliance consultants to support high-net-worth client operations is a plus

• Proficiency with accounting software (e.g., QuickBooks, Xero) and financial modeling tools

• Excellent analytical, problem-solving, and communication skills

• Strong attention to detail and accuracy

• Ability to work independently and collaboratively

• Proactive and results-oriented with the ability to meet deadlines