Job Description

Controller – Job Description

We are seeking a highly qualified and experienced individual to fill the role of Controller. This key leadership position will be responsible for overseeing all financial operations, administration, and compliance functions within our organization. The ideal candidate will possess a strong background in finance, compliance, and regulatory requirements, with the ability to lead and manage various departments while ensuring adherence to industry standards and best practices.

Responsibilities:

Finance and Accounting:

• Improve all existing comprehensive finance policies and procedures to ensure accurate financial reporting and adherence to regulatory requirements.
• Review monthly financial records prepared by an outside accounting firm, verifying accuracy and compliance with industry standards and regulations.
• Complete month-end closing processes and prepare monthly financial statements.
• Oversee the annual financial audit of the Broker Dealer business.
• Review A/P invoices, expense allocation, postings to the General Ledger, and payment processes.
• Supervise customer invoice processes and accounts receivable collection.
• Prepare, monitor, and manage the annual budget.

Compliance:

• Ensure timely and accurate reporting/filing of regulatory requirements, including quarterly FOCUS reports and SSOI reports.
• Prepare semi-annual SIPC reports.
• Oversee annual AML audit and SOC audit of valuation subsidiary.
• Manage and oversee regulatory examinations and inquiries, including FINRA.
• Monitor registered representatives' Outside Business Activities (OBA) and investment accounts for compliance.
• Provide rule interpretations and compliance guidance to various departments.
• Review, approve, and update NDA and Engagement Letter templates annually.
• Review and approve NDA and Engagement Letter changes from potential clients, as required.
• Perform monthly email and text archiving reviews for compliance purposes.
• Implement and monitor keywords for email and text archiving annually.

Leadership and Management:

• Supervise People Operations, IT, and administrative functions, including conducting regular performance reviews.
• Oversee the hiring process
• Take part in annual insurance needs assessment and budget approval.
• Review major vendor contracts on an annual or as-needed basis.
• Participate in regular marketing meetings and weekly update calls for the Investment Banking and Valuation groups.
• Perform other ad hoc activities as required.

Qualifications:

• 8-12 years of relevant experience in finance, compliance, or related roles.
• Bachelor’s degree in Finance, Accounting, Business, or related field.
• FINRA Series 24 and 27 licenses are required. If this not held at time of employment, the onus is on the incumbent to obtain such within 6 months of employment
• CPA designation is highly preferred but not required
• In-depth knowledge of Generally Accepted Accounting Principles (GAAP).
• Preferred experience in Broker/Dealer finance.
• Strong technical, quantitative, and analytical skills.
• Knowledge of QuickBooks.
• Excellent communication skills, both written and verbal, with the ability to articulate complex concepts concisely.

Houlihan Capital, LLC is a leading, solutions-driven valuation, financial advisory and investment banking firm committed to delivering superior client value and thought leadership in an ever-changing landscape.