Controller

• Own the full monthly close across broker-dealer and advisory entities, including GAAP financials, reconciliations, and variance analysis.
• Lead revenue recognition for advisory fees, brokerage activity, and intercompany allocations.
• Oversee collections, AR/AP operations, and cash management with a focus on client fund flows and regulatory requirements.
• Manage regulatory and external audits, working closely with FINRA, SEC, and tax/compliance partners.
• Drive accounting system improvements, including migration from QuickBooks to NetSuite, and implement broker-dealer specific controls.
• Establish and enforce internal policies to ensure regulatory compliance, risk management, and accuracy.
• Partner cross-functionally with Finance, Product, Operations, and Leadership to provide financial insights that support advisor adoption and platform scalability.
• Support firm-wide budgeting, forecasting, variance analysis, and board-level reporting.

Controller

Controller – Head of SEC Reporting

Product Controller – Fixed Income

Controller

Assistant Controller

Controller