Director, Financial Controller

Director, Financial Controller | NYC | $250-300k Total Compensation

Global financial institution seeking a CPA and Series 27 licensed professional to join its Finance leadership team in a highly visible Controller role supporting broker-dealer operations across North America.

This is an excellent opportunity for a hands-on finance leader to oversee financial control, regulatory reporting, FINOP responsibilities, and capital compliance while partnering closely with senior leadership, auditors, regulators, and compliance teams.

Key Responsibilities

• Lead broker-dealer financial control and regulatory reporting activities

• Oversee month-end close, financial statements, and management reporting

• Maintain compliance with FINRA, SEC, and Net Capital Rule 15c3-1 requirements

• Serve as a key liaison with auditors, regulators, and compliance teams

• Supervise FINOP-related activities and remediation efforts

• Drive process improvements, automation, and control enhancements

• Lead and develop a high-performing finance team

Ideal Background

• CPA and Series 27 required

• Strong broker-dealer accounting and regulatory reporting experience

• Deep knowledge of FINRA and SEC reporting requirements

• Experience with net capital calculations and financial controls

• Prior leadership experience within a regulated financial services environment

• Strong communication skills and ability to partner with senior stakeholders