Associate, Accounting – Commercial Controllers

Capital One

. Support Capital One’s Commercial Broker Dealers registered with FINRA and the SEC .

Posted 9/29/2026full-timeUnited StatesJuniorMid-Level💰 $74,200 - $93,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in accounting and finance processes, including month-end closing, financial reporting, and regulatory compliance. Proficient in process improvement and automation solutions to enhance operational efficiency.

Highest-signal resume keywords

Accounting ExperienceFinancial ReportingProcess ImprovementAutomation SolutionsSeries 99 License

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Journal EntriesMonthly ReconciliationsAccounts Payable ManagementFinancial AnalyticsMonth-End ClosingRegulatory ReportingData Transformation

Soft Skills

Relationship BuildingDeadline ManagementPrioritization

Tools & Technologies

Enterprise Supplier Management

Certifications & Qualifications

Bachelor's DegreeMaster's Degree in Finance or AccountingSeries 99 LicenseFINRA Licenses (7, 10, 24, 27)

Industry Keywords

FINRASECSecurities IndustryFinancial Industry

About the role

Key responsibilities & impact

Support Capital One’s Commercial Broker Dealers registered with FINRA and the SEC
Prepare journal entries and monthly reconciliations
Perform month-end closing and financial reporting processes timely and accurately
Manage accounts payable for the business and interface with Enterprise Supplier Management
Prepare and present monthly, quarterly, and ad hoc analytics for line of business, Accounting, and Finance leadership
Support quarterly SEC and regulatory reporting and other ad hoc reporting requests
Interact directly with Finance, key business partners, associates throughout the controller’s group, tax, and external and internal auditors
Participate in challenging project initiatives with the team
Support automation and data transformation efforts
Identify and drive process efficiencies

Requirements

What you’ll need

Bachelor's degree
At least 1 year of experience in accounting, finance, securities or a combination
Ability to obtain Series 99 license within one year of joining the team
Ability to manage priorities and meet deadlines in a fast-paced environment
Ability to develop strong relationships with key business partners
Ability to identify process improvement and technology options and assist in implementing automation solutions
Preferred: Master's degree in Finance or Accounting
Preferred: 2+ years of accounting or securities industry experience or a combination
Preferred: Financial Industry Regulatory Authority Series License 7, 10, 24, 27, or 99, or any combination
At this time, Capital One will not sponsor a new applicant for employment authorization for this position

Benefits

Comp & perks

Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
Comprehensive, competitive, and inclusive health, financial and other benefits supporting total well-being
Reasonable accommodations for applicants who require them