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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in U.S. GAAP, financial reporting, and broker-dealer operations while leading high-performing accounting teams. Proven ability to manage audits, regulatory compliance, and strategic financial initiatives within capital markets.
Highest-signal resume keywords
U.S. GAAP ExpertiseBroker-Dealer OperationsPCAOB Audit ManagementFinancial Reporting LeadershipActive CPA Designation
About the role
Key responsibilities & impact- Provide executive leadership for all accounting, financial reporting, and control activities across multiple broker-dealer entities
- Direct monthly, quarterly, and annual close processes, ensuring accuracy, transparency, and timely reporting
- Oversee preparation and review of GAAP financial statements, regulatory reporting, and related disclosures
- Serve as primary accounting leader for fixed income trading, underwriting, securities financing, advisory services, and brokerage operations
- Partner with senior business leaders on new products, strategic growth initiatives, and acquisitions from an accounting and financial reporting perspective
- Lead external and internal audit activities, regulatory examinations, and stakeholder interactions
- Drive continuous improvement across accounting processes, automation initiatives, governance practices, and control frameworks
- Develop and mentor a high-performing team of accounting professionals
- Partner directly with the Broker-Dealer CFO and senior capital markets leaders
- Work across introducing and self-clearing broker-dealer operations
Requirements
What you’ll need- Bachelor's degree in Accounting, Finance, or related discipline
- Extensive experience leading accounting and financial reporting functions within a broker-dealer, investment banking, capital markets, or securities organization
- Deep knowledge of U.S. GAAP, financial instruments, broker-dealer operations, and regulatory reporting requirements
- Proven experience managing PCAOB audits and audited financial statements
- Strong understanding of SEC Rule 17a-5, SEC Rule 15c3-1, and SEC Rule 15c3-3
- Demonstrated success leading teams and building high-performing finance organizations
- Experience supporting both introducing and self-clearing broker-dealers preferred
- Expertise in fixed income trading, underwriting, repo/reverse repo, securities financing, or related capital markets activities preferred
- Experience supporting acquisitions, integrations, and complex business transformations preferred
- Exposure to equity trading, equity underwriting, prime brokerage, or institutional markets businesses preferred
- Active CPA designation preferred
- FINRA Series 27 license preferred
- Ability to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies
- Must satisfy applicable employment eligibility verification and background-check requirements
Benefits
Comp & perks- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
- Incentive and recognition programs
- Equity stock purchase
- 401(k) contribution and pension
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Financial ReportingAccounting LeadershipRegulatory ReportingAudit ManagementFinancial Statement PreparationFixed Income TradingSecurities FinancingAcquisition SupportBusiness TransformationCapital Markets Activities
Soft Skills
Team DevelopmentStakeholder InteractionStrategic PartnershipContinuous Improvement
Certifications & Qualifications
Active CPA DesignationFINRA Series 27 License
Industry Keywords
Broker-DealerInvestment BankingCapital MarketsSEC Rule 17a-5SEC Rule 15c3-1SEC Rule 15c3-3GAAP Financial StatementsRegulatory ExaminationsEquity TradingUnderwriting