Controller – Capital Markets, Brokerage

U.S. Bank

Broker-Dealer Controller overseeing financial reporting and accounting for retail brokerage. Leading accounting professionals and managing audit processes in a financial institution.

Posted 7/14/2026full-timeSaint Louis • Illinois, Minnesota, Montana, North Carolina • 🇺🇸 United StatesMid-LevelSenior💰 $143,905 - $169,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in U.S. GAAP financial reporting, broker-dealer operations, and managing PCAOB audits. Proven ability to lead accounting teams, implement strong internal controls, and support business growth initiatives.

Highest-signal resume keywords

Broker-Dealer AccountingU.S. GAAP KnowledgePCAOB Audit ManagementFinancial Reporting GovernanceSEC Rule Compliance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Financial Statement PreparationAccounting Policy DevelopmentInternal Control ManagementAudit ManagementFinancial Reporting

Soft Skills

LeadershipTeam DevelopmentAccountabilityContinuous Improvement

Certifications & Qualifications

Bachelor's Degree in AccountingBachelor's Degree in Finance

Industry Keywords

Financial InstrumentsSecurities FinancingAdvisory ActivitiesCommission-Based ActivitiesSEC Rule 17a-5SEC Rule 15c3-1SEC Rule 15c3-3

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

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.

Benefits

Comp & perks

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