Job DescriptionReporting directly to the Broker-Dealer CFO. The Broker-Dealer Controller is a senior finance leader and is responsible for operational accounting, financial reporting, and internal controls for introducing retail brokerage broker-dealer and a self-clearing capital markets broker-dealer.
Key Responsibilities• Lead monthly, quarterly, and annual close processes for both broker-dealers.
• Oversee preparation and review of GAAP financial statements and related disclosures.
• Manage internal and external audits.
• Ensure accurate accounting for trading, underwriting, securities financing, advisory, and commission-based activities.
• Maintain strong internal controls, accounting policies, and financial reporting governance.
• Provide accounting leadership for new products, business growth initiatives, and acquisitions.
• Lead and develop accounting professionals while fostering a culture of accountability and continuous improvement.
Required Qualifications• Bachelor's degree in Accounting or Finance.
• Significant broker-dealer accounting and financial reporting experience.
• Strong knowledge of U.S. GAAP, financial instruments, and broker-dealer operations.
• Experience managing PCAOB audits and audited financial statements.
• Working knowledge of SEC Rule 17a-5, SEC Rule 15c3-1, and SEC Rule 15c3-3.
Preferred Qualifications• Experience supporting both introducing and self-clearing broker-dealers.
• Background in fixed income trading, underwriting, repo/reverse repo, or securities financing activities.
• Acquisition and integration experience.
• Exposure to equity trading, equity underwriting, or prime brokerage businesses.
• CPA preferred.
• FINRA License Series 27.
Location Requirements This role requires working from a U.S. Bank location three (3) or more days per week.
Benefits:Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:
- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
Review our full benefits available by employment status here.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $143,905.00 - $169,300.00
Posting may be closed earlier due to high volume of applicants. 
