Controller

Saint Louis, MO
$100,000-150,000 per year
Permanent
Full-time

28 days ago
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A minority-owned, independent investment bank and broker-dealer is seeking a Controller to join its growing finance team. This high-impact position reports directly to the CFO and offers the opportunity to lead a small team while playing a key role in financial strategy, regulatory reporting, and operational efficiency. The ideal candidate is a detail-oriented finance professional with strong GAAP expertise, proven leadership experience, and a background in-or willingness to learn-regulatory compliance within the securities industry (FINRA/SEC).Responsibilities:
Provide strategic leadership in the firm's finance and accounting operations, ensuring accuracy in financial reporting, regulatory compliance, and alignment with overall business objectives
Oversee core accounting functions, including accounts payable, accounts receivable, payroll, and general ledger management
Prepare and review monthly, quarterly, and annual financial statements for internal leadership and external stakeholders, ensuring timely and accurate reporting
Conduct financial analysis, including variance analysis, forecasting, and performance reporting to support decision-making
Ensure compliance with GAAP, tax regulations, and industry-specific requirements, including SEC and FINRA guidelines
Serve as a key regulatory liaison, supporting FINRA and SEC filings, audits, and interactions with external regulatory bodies
Lead, mentor, and develop a small finance and accounting team, promoting a culture of accountability, collaboration, and continuous improvement
Enhance and maintain internal controls and financial systems to safeguard the integrity and reliability of financial data
Manage and optimize accounting systems such as Microsoft Dynamics (Great Plains), Management Reporter, and ActivReporter
Partner with the CFO and executive leadership team to support firm-wide strategic planning, evaluate business opportunities, and align financial strategies with operational goals
Monitor changes in accounting standards and regulatory requirements, proactively advising leadership on potential financial and operational impacts
Progress toward assuming the role of FINRA Principal Financial Officer, taking on increased responsibilities in financial oversight and regulatory compliance
Work cross-functionally to provide financial insights, training, and support to internal teams on key financial processesRequirements:
Bachelor's in Accounting required; CPA required
5+ years' experience in accounting/finance (securities or public accounting a plus)
Knowledge of GAAP and tax regulations; FINRA/SEC familiarity preferred
Experience with Microsoft Dynamics (Great Plains) strongly preferred; Office/Excel proficiency a must; Management Reporter and ActivReporter software experience is desired
Series 27 a plus (or willingness to obtain within 18 months)
Strong leadership, analytical, and communication skillsThe expected compensation for this position includes a base salary between $100,000 - $150,000, depending on experience, qualifications, and other job-related factors. Other components of the package include performance-based bonus; PTO; professional development and growth opportunities, including funding for work-related licenses and industry conferences; flexibility to work from home when needed; medical, dental, and vision insurance plans, including access to HSA, FSA, and dependent care accounts; employer funded group-term life insurance and a partially funded long-term disability plan; and a 401(k) retirement plan that offers both Roth and traditional investment options.

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