Assistant BD Controller

The Assistant Broker Dealer Controller will lead the day-to-day management of the Broker Dealer Finance Analysts. This individual is responsible for the preparation and review of Broker/Dealer financial statements and ensures compliance with accounting standards (GAAP).

What you’ll do:  

• Management of the BD Analyst team to include staffing, training, and performance management.
• Preparation and review of Broker/Dealer financial statements (income statements, balance sheets, etc.), ensuring accuracy and compliance with accounting standards (GAAP).
• Oversee daily Broker/Dealer accounting processes, including general ledger management, Broker/Dealer bank account reconciliations, and collaboration with the Account Payable/Receivable teams.
• Maintain, develop and implement internal controls over accounting processes.
• Communication and partnership with all internal teams, including collaboration with the in-house FinOp team and Distribution BU leaders.

To Qualify for the role, you will have:  

• Bachelor’s degree in accounting
• Ten (10) or more combined years of progressively responsible experience on an accounting team related to Broker Dealer accounting
• Minimum of 5 years of supervisory experience
• Familiarity with Mutual Fund practices
• Proficient with data analysis, critical thinking and problem solving
• Proficient in monthly closing processes experience
• Strong technical knowledge of US GAAP

Required Licenses and Certification(s)

• Series 99 license (or equivalent) or able to attain within 6 months (?) from date of hire

Ideally, you’ll also have: 

• Experience with Workday accounting system
• Certified Public Accountant or Certified Management Accountant (or equivalent)

Skills and Attributes for Success:  

• Demonstrated professional integrity
• High-level of organization with a keen attention to detail
• Proven ability to utilize financial acumen to provide guidance to a senior management team
• Results driven, initiative-taking and able to operate in a relatively unstructured environment
• Ability to act independently and prioritize appropriately while being flexible and adaptable
• Ability to establish and maintain effective working relationships with colleagues and clients
• Dedicated to upholding ACA’s high-quality standards and customer service focus
• Proficient with Microsoft Office applications

What working at ACA offers: 

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.  

About ACA: 

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. 

What we commit to: 

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law. 

The cash compensation range we have provided has been benchmarked against similar organizations of comparable size, sector, and age. Our offers of employment consider a variety of factors, including but not limited to, unique skill sets, specific expertise or certifications and business/organizational needs. It is not typical for us to hire talent at the top of the range for a role, in part because it’s so important to us to allow all ACA employees the opportunity to develop over time, and to feel rewarded for doing so. Our listed range is a reasonable estimate of the total yearly compensation. 

Salary Range: $135K-$170K