Description
Position Summary
The Accounting Manager will oversee all accounting operations for a Broker Dealer / RIA firm. This role is responsible for ensuring accurate financial reporting, regulatory compliance, and the integrity of all accounting processes. The ideal candidate will have experience in both broker-dealer and RIA environments, with a strong understanding of industry regulations and best practices.
Key Responsibilities
Manage the monthly, quarterly, and annual close processes for firm
Prepare and review financial statements, management reports, and regulatory filings
Oversee general ledger, accounts payable/receivable, payroll, and reconciliations.
Ensure accurate tracking of commissions, advisory fees, and other revenue streams.
Develop, document, and maintain accounting policies and procedures.
Implement and monitor internal controls to safeguard firm assets and ensure data integrity.
Identify and drive process improvements to increase efficiency and accuracy.
Serve as a key point of contact for external auditors, regulators, and vendors.
Support budgeting, forecasting, and financial analysis activities.
Oversee expense management.
Qualifications
Requirements
Bachelor’s degree in Accounting, Finance, or related field (CPA preferred).
5+ years of progressive accounting experience, with at least 2 years in a broker-dealer and/or RIA environment.
Series 27 preferred
Strong knowledge of SEC, FINRA, and state regulatory requirements.
Experience with regulatory filings
Proficiency with accounting software and advanced Excel skills.
Excellent analytical, organizational, and communication skills.
Ability to meet deadlines and manage multiple priorities in a fast-paced environment.
Leadership experience preferred.
Preferred Experience
Experience with dual-registered (Broker Dealer/RIA) firms.
Familiarity with commission and advisory fee structures.
Prior involvement in system implementations or process automation
Physical Requirements:
Ability to speak, to hear and to operate business equipment such as computers, printers, etc.
Environmental Requirements:
Professional office environment
Dallas location preferred, open to remote for right candidate
