Part-Time Controller Series 27/28

Part-Time Controller
Meridian / Denver Tech Center

Growing broker-dealer is seeking a Controller to oversee the brokerage financial operations, and serve as a member of our executive team. Reporting to the CEO, this role is responsible for the implementation and management of finance and accounting processes, external filing and financial reporting, and accounting controls and functions.

Responsibilities:
• Prepare and retain financials, regulatory books and records, and ensure regulatory requirements (SEC, FINRA) are met.
• Account reconciliation, payroll, accounts payables, account receivables, net capital computations, audit support, book-keeping and accounting due diligence.
• Monthly variable compensation preparation for commission and advisory-fee based Representatives
• Fidelity Bond and E&O Insurance preparation
• FINRA examination support.
• Annual financial audit by outside CPA firm
• Ensure accurate production and completion of month-end, quarter-end and year-end close processes.
• Keep up to date with regulatory developments and oversee their implementation.
• Manage all tax filings, planning and compliance (federal, state, local payroll, property)
• Ensure financial information and new systems efficiently and accurately consolidate.
• Make recommendations for process/ control modifications.

Knowledge and Skills:
• Obtain Series 27 securities license within 6 months
• Broker-dealer experience a plus
• Demonstrated analytical skills including the ability to synthesize quantitative and qualitative data to draw conclusions and assist in decision making.
• Experience with accounts payable/receivable, tax filings, vendor management, reconciliation, accounting due diligence.
• Knowledge and experience with QuickBooks.
• Clean criminal record