Vaco Recruiter Services
Vaco Financial is currently assisting a reputable broker‑dealer/investments firm located in the Northern VA/DC/Maryland area with its search for a Controller. The position reports to the CEO and will manage a small accounting team that works a flexible hybrid schedule. The Controller is responsible for managing financial operations, including financial planning, risk management, books and records, reporting, and compliance, including net capital rules and customer protection rules under FINRA and SEC regulatory compliance and reporting, for the company, its affiliates, and subsidiaries, and supports the company’s strategic goals to ensure its financial health and stability.
Essential Duties & Responsibilities
Develop, execute, and oversee financial plans and strategies, budgets, cash flow, and forecasts to support strategic objectives Identify, assess, and mitigate financial risks, including those related to market volatility, credit and operational risk, regulatory compliance, and fraud prevention Prepare and present accurate and timely financial statements and other financial performance reports to stakeholders, investors, regulators, and management Manage and maintain a sound capital structure involving debt, equity, and investment decisions Establish and maintain strong internal controls, compliance policies and procedures over financial reporting and operations Ensure adherence to compliance with relevant FINRA and SEC rules and regulations, including those related to the timely submission of financial reports, capital adequacy rules, and internal controls Provide advice on financial implications of key decisions, including potential mergers and acquisitions Collaborate with other C‑suite executives, department heads, and external advisors to support the company’s financial goals Supervise and mentor accounting operations team members; delegate and provide guidance and support to ensure they are equipped to perform their roles effectively Stay abreast of financial regulations and trends; make adjustments to ensure compliance and efficiency Perform other related duties as assigned, which may also include labor law compliance management Education, Licensing, Certifications, and Experience
Bachelor’s degree in finance, accounting, economics, or business administration; an MBA is a plus At least ten years’ work experience heading accounting and financial risk in the financial services industry Licenses or Certifications: FINRA Series 27 (Financial Operations Principal or FINOP) Our client offers a comprehensive benefits plan including medical, dental, vision, and a retirement savings plan. For consideration, please send a MS Word version of your resume to chip.vanschaften at vaco.com. Vaco Financial specializes in the permanent placement of accounting and finance professionals of all levels and industries. We have a team of experienced accounting professionals on staff that makes it their responsibility to educate you on the market, present you with job opportunities to explore, and ensure that the right decision is made regarding your future career. We pride ourselves in providing you with a professional and confidential search. Please visit our website to see a sample of the positions we are currently recruiting.
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Develop, execute, and oversee financial plans and strategies, budgets, cash flow, and forecasts to support strategic objectives Identify, assess, and mitigate financial risks, including those related to market volatility, credit and operational risk, regulatory compliance, and fraud prevention Prepare and present accurate and timely financial statements and other financial performance reports to stakeholders, investors, regulators, and management Manage and maintain a sound capital structure involving debt, equity, and investment decisions Establish and maintain strong internal controls, compliance policies and procedures over financial reporting and operations Ensure adherence to compliance with relevant FINRA and SEC rules and regulations, including those related to the timely submission of financial reports, capital adequacy rules, and internal controls Provide advice on financial implications of key decisions, including potential mergers and acquisitions Collaborate with other C‑suite executives, department heads, and external advisors to support the company’s financial goals Supervise and mentor accounting operations team members; delegate and provide guidance and support to ensure they are equipped to perform their roles effectively Stay abreast of financial regulations and trends; make adjustments to ensure compliance and efficiency Perform other related duties as assigned, which may also include labor law compliance management Education, Licensing, Certifications, and Experience
Bachelor’s degree in finance, accounting, economics, or business administration; an MBA is a plus At least ten years’ work experience heading accounting and financial risk in the financial services industry Licenses or Certifications: FINRA Series 27 (Financial Operations Principal or FINOP) Our client offers a comprehensive benefits plan including medical, dental, vision, and a retirement savings plan. For consideration, please send a MS Word version of your resume to chip.vanschaften at vaco.com. Vaco Financial specializes in the permanent placement of accounting and finance professionals of all levels and industries. We have a team of experienced accounting professionals on staff that makes it their responsibility to educate you on the market, present you with job opportunities to explore, and ensure that the right decision is made regarding your future career. We pride ourselves in providing you with a professional and confidential search. Please visit our website to see a sample of the positions we are currently recruiting.
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