Buckingham Search
A leading global trading and investment firm is seeking an Accounting Director – Broker-Dealer Finance & Operations Principal (FinOp) to join its U.S. Finance team. This senior role will oversee regulatory financial reporting and compliance for broker-dealer entities, ensuring timely, accurate submissions and adherence to SEC/FINRA requirements.
You’ll work cross-functionally with accounting, treasury, tax, compliance, clearing, and risk teams to maintain robust controls, regulatory alignment, and operational excellence. The ideal candidate is a hands-on leader with deep technical knowledge, Series 27 certification, and the ability to thrive in a fast-paced, collaborative environment.
Key Responsibilities
Prepare, review, and file all required U.S. broker-dealer regulatory returns and submissions. Oversee net capital calculations and reporting requirements, partnering with Treasury, Risk, and Compliance teams. Lead preparation of annual audited financial statements for U.S. regulated entities; liaise with external auditors. Support liquidity, funding, and clearing/trading deposit management in coordination with Treasury. Monitor evolving SEC/FINRA guidance; interpret regulations, assess impact, and implement process updates. Document and maintain policies, procedures, and controls for regulatory reporting. Collaborate with legal and compliance teams during external regulatory audits and examinations. Advise business units on the regulatory implications of new products or initiatives. Manage ad hoc analysis, special projects, and cross-functional finance initiatives. Qualifications
8+ years of regulatory accounting or audit experience in financial services/trading or broker-dealer environments. Bachelor’s degree in Accounting, Finance, or related field. Active Series 27 license (FinOp) required. Strong knowledge of GAAP, SEC, and FINRA regulations. Proven track record building processes for compliance and reporting in complex, fast-moving businesses. Excellent analytical, organizational, and communication skills. Collaborative, resourceful, and adaptable — able to lead while staying detail-oriented. What’s Offered
Competitive base salary + discretionary bonus. Comprehensive health, dental, and vision coverage. Retirement savings plan with employer match. Paid vacation, holidays, and parental leave. Wellness and professional development programs. High-exposure role with direct impact in a global trading firm. We are an equal opportunities employer and welcome applications from all qualified candidates.
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Prepare, review, and file all required U.S. broker-dealer regulatory returns and submissions. Oversee net capital calculations and reporting requirements, partnering with Treasury, Risk, and Compliance teams. Lead preparation of annual audited financial statements for U.S. regulated entities; liaise with external auditors. Support liquidity, funding, and clearing/trading deposit management in coordination with Treasury. Monitor evolving SEC/FINRA guidance; interpret regulations, assess impact, and implement process updates. Document and maintain policies, procedures, and controls for regulatory reporting. Collaborate with legal and compliance teams during external regulatory audits and examinations. Advise business units on the regulatory implications of new products or initiatives. Manage ad hoc analysis, special projects, and cross-functional finance initiatives. Qualifications
8+ years of regulatory accounting or audit experience in financial services/trading or broker-dealer environments. Bachelor’s degree in Accounting, Finance, or related field. Active Series 27 license (FinOp) required. Strong knowledge of GAAP, SEC, and FINRA regulations. Proven track record building processes for compliance and reporting in complex, fast-moving businesses. Excellent analytical, organizational, and communication skills. Collaborative, resourceful, and adaptable — able to lead while staying detail-oriented. What’s Offered
Competitive base salary + discretionary bonus. Comprehensive health, dental, and vision coverage. Retirement savings plan with employer match. Paid vacation, holidays, and parental leave. Wellness and professional development programs. High-exposure role with direct impact in a global trading firm. We are an equal opportunities employer and welcome applications from all qualified candidates.
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