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Controller, ApexPro

Company: Apex Clearing Corporation
Location: Dallas
Posted on: February 25, 2021

Job Description:

The Controller will be responsible for overseeing month-end close processes, financial reporting and analysis, and regulatory reporting functions of the firm. The Controller will lead projects and be required to recommend and implement ideas to improve the overall group performance. This role reports to the Chief Financial Officer and is a hands-on position. The ideal candidate has experience in accounting and regulatory reporting at a clearing firm or a FINRA-regulated financial business. The Controller will need solid accounting and financial knowledge, an understanding of internal controls, and strong communication skills. He / She will regularly communicate with the firm's functional leaders, auditors and regulators. The Controller must be a critical thinker, analytical, energetic, and be able to produce quality materials within tight timeframes.--Strong training, review, and support skills are necessary in this role. We're looking for someone who:

  • Is passionate. You have a genuine passion for people and developing relationships
  • Is motivated. You're driven to be the best. You challenge yourself by setting goals, crushing them, and helping your teammates do the same
  • Is collaborative.--You're excited to work with others throughout the organization to help foster a superior workplace and culture
  • Wants to make an impact. You're looking to do amazing work. You're all about helping employees be happier at work and perform at a superior level
  • Operates with integrity. You always conduct yourself with honesty and operate ethically. You say what you mean, and mean what you say A few reasons why you might love us:
    • We're a leader in the space. We've got an amazing track record of success and we foster ongoing innovation. So, you get all the benefits of a proven, growing company, while enjoying a very entrepreneurial culture.
    • The team is really motivating. You'll work with people who are as energetic, smart, and determined as you are. You'll be managed by the best, too.
    • Your work will be immediately impactful.--You'll be able to see your direct impact on our department. You won't be just another cog in the wheel. And a few reasons why you may not like working for us:
      • You don't like change. This is not a job for someone who likes 'predictable'.--The market is dynamic which means the work is dynamic. It's a fast-paced environment and you need to adapt accordingly. You won't be bored.
      • You're not the collaborative type. We work together to ensure the best possible solutions for our internal teams. If you're looking to hide out and do your own thing, this might not be the right spot.--
      • You like task singularity. You must be able to multi-task. If you are single threaded and need to work on a task for start to finish, you may not like this role. We need someone who can switch gears smoothly while still juggling competing priorities. Duties and responsibilities:
        • Oversee accounting and financial reporting processes, including month-end close, accounts payable, financial review and analysis, accruals, account reconciliations, and overall maintenance of the firm's accounting records
        • Responsible for overseeing broker-dealer regulatory reporting including monthly FOCUS report, capital computations, weekly customer reserve and other related computations
        • Responsible for maintaining and enhancing proper internal financial controls and processes. Drive process documentation including writing, reviewing, and maintaining standard operating procedures
        • Implement workflow improvements and automate processes to minimize risk, eliminate manual workflows, reduce inefficiencies, and increase bandwidth
        • Solve complex operational problems
        • Actively lead or participate in firmwide and departmental projects and initiatives
        • Serve as a supervisory control function for many processes and internal control activities
        • Remain abreast of changes in the regulatory and GAAP frameworks that drive the regulatory reporting and financial functions
        • Responsible for preparation of GAAP financial statements and footnotes
        • Manage and drive positive outcomes with auditors, regulators, customers, and other counterparty relationships
        • Attention to consistent improvement around internal controls
        • Consistently strengthen the processes and outcomes of general ledger and accounting systems
        • Handle audit requests for financial statement audit and regulatory exams
        • Actively cross-train the team to provide back-up coverage for all team members The skills you'll need to succeed: Required
          • CPA or MBA
          • Minimum of 10 years accounting experience, including 5+ in a leadership role, preferably in a similar role for a clearing or investment firm, proprietary trading firm, bank or trust company
          • Current Series 27 license, or willingness to pursue
          • An aggressive self-starter who is comfortable with a fast-paced, start-up environment, where flexibility and team effort are essential
          • The commitment to their own growth and the development of others around them
          • A direct, honest, open and" straight-shooting" personal manner with the courage and honor to meet their commitments and communicate openly about challenges
          • Strong communication and interpersonal skills, demonstrating the ability to connect and build relationships with clients, auditors, regulators, organization leadership, peers, and other counterparty relationships
          • An exceptionally high degree of initiative and adaptability and the ability to work with numerous and conflicting deadlines
          • A continuous improvement mindset with the ability to seek out and implement internal or external best practices
          • Strong analytical abilities and perseverance to solve problems with high attention to detail
          • The ability to perform many complex and confidential tasks with speed and accuracy
          • A collaborative mindset as well as the ability to exercise independent judgment
          • Proficient in Excel, PowerPoint, Word and MS Outlook Preferred
            • Public Accounting experience
            • Experience using NetSuite accounting system
            • Intermediate to Advanced Excel abilities Are you legally authorized to work in the United States? --*
              Will you now or in the future require sponsorship for U.S. work authorization? --*
              How did you hear about this job?
              U.S. Equal Opportunity Employment Information (Completion is voluntary) Individuals seeking employment at Apex Clearing are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file. Gender Are you Hispanic/Latino? Race & Ethnicity Definitions If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows: A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability. A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service. An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense. An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985. Veteran Status Form CC-305 OMB Control Number 1250-0005 Expires 05/31/2023 Voluntary Self-Identification of DisabilityWhy are you being asked to complete this form? We are a federal contractor or subcontractor required by law to provide equal employment opportunity to qualified people with disabilities. We are also required to measure our progress toward having at least 7% of our workforce be individuals with disabilities. To do this, we must ask applicants and employees if they have a disability or have ever had a disability. Because a person may become disabled at any time, we ask all of our employees to update their information at least every five years. Identifying yourself as an individual with a disability is voluntary, and we hope that you will choose to do so. Your answer will be maintained confidentially and not be seen by selecting officials or anyone else involved in making personnel decisions. Completing the form will not negatively impact you in any way, regardless of whether you have self-identified in the past. For more information about this form or the equal employment obligations of federal contractors under Section 503 of the Rehabilitation Act, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . How do you know if you have a disability? You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition. Disabilities include, but are not limited to:
              • Autism
              • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS
              • Blind or low vision
              • Cancer
              • Cardiovascular or heart disease
              • Celiac disease
              • Cerebral palsy
              • Deaf or hard of hearing
              • Depression or anxiety
              • Diabetes
              • Epilepsy
              • Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome
              • Intellectual disability
              • Missing limbs or partially missing limbs
              • Nervous system condition for example, migraine headaches, Parkinson's disease, or Multiple sclerosis (MS)
              • Psychiatric condition, for example, bipolar disorder, schizophrenia, PTSD, or major depression Disability Status 1 Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

Keywords: Apex Clearing Corporation, Dallas , Controller, ApexPro, Accounting, Auditing , Dallas, Texas

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