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Broker Dealer Controller - Vice President

Greenwich, CT
  • Posted: over a month ago
  • Full-Time
Job Description

iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $113 billion in global client assets invested in 942 funds, as of January 2022.

iCapital was named Solutions Provider of the Year at the 2020 MMI/Barron's Industry Awards and selected to the 2018, 2019, 2020 and 2021 Forbes FinTech 50, a list of the top 50 innovative financial technology companies that are transforming finance through technology.

About the Role

This role includes accounting responsibilities, such as month end close duties, assisting with the preparation of budgets/forecasts, and consolidation of financial reports. The VP, Broker Dealer Controller, will be a member of the Corporate Finance team and report into the Chief Accounting Officer.

  • Oversee all accounting and compliance related functions of the Company's broker dealer entities:
    • Work closely with third party firms on the monthly filings of FOCUS reports
    • Review and post journal entries
    • Create analytics to explain variance analysis on month over month financials
    • Review the accuracy of accruals, payables, and accounts receivable
    • Reconciliation of cash accounts
    • Review and reconciliation of allocation related to expense sharing agreements
  • Work with third party firms to merge existing broker dealers to simplify reporting and maximize efficiency.
  • Assist in preparation of monthly management and board financial packages including consolidation of financial statements, actual versus budget variance analysis, and compilation of Company KPI reports.
  • Identify and remediate process gaps and implement effective internal controls; Improve documentation of internal control processes.
  • Liaise with external auditors, tax preparer, and other third party service providers/clients.
  • Assist in completing special projects as needed such as implementation of new accounting software.


  • 10+ years of Corporate Accounting experience within the Financial Services industry
  • Broker Dealer experience would be highly preferred
  • Familiarity with NetSuite would be beneficial
  • Knowledge of booking journal entries and consolidation of financial statements required
  • CPA license preferred
  • FINRA Series 24 or 27 License preferred
  • Proficient with Microsoft Suite (Outlook, Excel, PowerPoint)
  • Able to manage large sets of data and be able to implement checks and balances
  • Excellent verbal and written communication skills
  • Detailed oriented with big picture capability

iCapital offers a comprehensive benefits package that includes a competitive total compensation program consisting of salary, equity for all full-time employees, annual performance bonus, and an employer matched retirement plan; generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling; and unlimited paid time off (PTO) featuring unlimited sick time and parental leave.

As we re-enter our offices, iCapital offers most employees the flexibility to work in the office three to four days and remotely for the remainder of the week.  Every department has different needs, and some positions will be designated in-office jobs, based on their function.

For additional information on iCapital, please visit  Twitter: @icapitalnetwork | LinkedIn:

 iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.



Greenwich, CT


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