OverviewGTS is seeking an experienced Entity Controller/Financial and Operations Principal to own financial reporting, regulatory compliance, and audit management for one or more of our registered broker-dealer entities. This role sits at the intersection of technical accounting, financial systems, and regulatory reporting, and serves as the primary point of contact for external auditors and regulators.
The ideal candidate brings deep broker-dealer accounting expertise, hands-on experience with Sage Intacct, and the credibility to face off directly with auditors, examiners, and senior stakeholders.
Responsibilities
- Own the general ledger close process and financial reporting for assigned broker-dealer entity/entities, ensuring accuracy and compliance with US GAAP
- Serve as the primary liaison with external auditors for annual audits, quarterly reviews, and special engagements — managing audit requests, walkthroughs, and issue resolution
- Assist team with regulatory (FINRA, SEC) examinations, inquiries, and routine regulatory correspondence
- Assist in the preparation and review of regulatory filings, including FOCUS Reports and Net Capital (Rule 15c3-1) computations
- Maintain and enhance the entity's dimensional reporting structure within Sage Intacct, ensuring alignment between management reporting and regulatory/statutory reporting requirements
- Partner with the broader Finance organization including Product Control, Accounts Payable and Payroll to ensure the accuracy of the entities’ books and records.
- Collaborate with Technology, COO, Treasury, and Risk to monitor and control the financial statement impact from trading, funding and corporate activities
- Lead technical accounting research, decisions and documentation for new products, and regulatory changes
- Design and maintain strong internal controls over financial reporting for the entity
- Drive process improvement and automation initiatives across the close, reconciliation, and reporting cycle
Qualifications
- Minimum 5 years of progressive accounting/controllership experience, with significant time in a broker-dealer, financial services, or capital markets organization or with a large public accounting firm specializing in broker-dealer financial statement audits
- FINRA Series 27 (Financial and Operations Principal) licensed or aspiring
- Direct, hands-on experience managing external audit relationships and regulatory examinations (FINRA/SEC)
- Strong working knowledge of broker-dealer regulatory frameworks, including FOCUS reporting and SEC Rule 15c3-1 (Net Capital)
- Bachelor's degree in Accounting, Finance, or related field; CPA preferred
- Deep knowledge of US GAAP, particularly as applied to broker-dealer/financial instruments accounting (ASC 320, ASC 321, ASC 830, etc.)
- Excellent communication skills and executive presence — comfortable presenting to senior management, auditors, and regulators
- Strong project management skills with the ability to manage competing deadlines across close, audit, and regulatory cycles
- We're proud to employ leading talent in the industry and work to ensure our employees enjoy a high quality of life.
Preferred:
- Hands-on experience with Sage Intacct, including chart of accounts, dimensional reporting (Class/Department/Location/UDDs), and month-end close processes
- Additional FINRA licensing (e.g., Series 99) relevant to product control or operations functions
- Experience with ERP implementations or system migrations
- Experience with AP/expense automation platforms (e.g., Airbase, Brex)
- Prior experience in a multi-entity, parent/subsidiary corporate structure
Please note: The use of AI tools during interviews is strictly prohibited, unless explicitly agreed upon.
In accordance with New York City's Pay Transparency Law, the base salary range for this role is $150,000 to $225,000. Base salary does not include other forms of compensation or benefits.
Benefits:
Core Benefits: Medical, Dental, and Vision coverage with generous employer contribution for employees and dependents. 401k match.
Perks: Daily Meal Allowance, Equinox Corporate Membership Rate, Snacks, Office Game Room, Casual Dress.
Hybrid Work Policy: 4 Days a Week in office, Fridays can be worked from home.
Unsolicited resumes:
We do not accept unsolicited headhunter and agency resumes and will not pay fees to any third-party agency or company that does not have a signed agreement with GTS.
