NYC 299 Park Avenue (22957), United States of America, New York, New
York
Manager, Accounting (Broker Dealer)
Manager, Accounting
Does the idea of working
with professional, highly trained accountants inspire you? Are you an
accounting professional with a demonstrated ability to work well in
teams, develop new ideas, and take ownership of your projects? Would
you like the opportunity to individually contribute to the team, along
with the opportunity to grow into a leader? Would you like to work in
a collaborative environment where your contributions are recognized
and rewarded, all while having a work-life balance? If so,
opportunities for professional and personal fulfillment in a dynamic,
progressive organization await you at Capital One!
We are
seeking a highly motivated Accounting Manager to support Capital One
Securities, a broker dealer registered with the Financial Industry
Regulatory Authority (FINRA) and the Securities Exchange Commission
(SEC). Candidates should be self-starters responsible for managing a
team of accounting professionals, balancing multiple priorities, and
meeting deadlines in a fast paced, time sensitive environment.
Candidates must be able to develop strong relationships with key
business partners. Additionally, candidates should possess the ability
to identify process improvement and technology options and assist in
implementation of automation solutions.
Responsibilities:
Oversee monthly closes process
Prepare internal & external financial statements and
variance analysis
Prepare regulatory filings (FOCUS
reports, SIPC reports, etc.)
Perform regulatory net
capital computation and ensure compliance with regulatory guidance
Responsible for monthly account reconciliations
review
Manage line of business incentive plans
Coordinate various internal stakeholders (Operations,
FP&A, business leaders) to ensure accurate reporting and adherence to
regulatory guidance
Review intercompany management
fees
Other broker-dealer accounting responsibilities
as assigned
Support external and internal audits as
well as regulatory exams
Develop team financial
talent and bench-strength and manage employee development and training
Participate in challenging project initiatives with
the team.
Support automation and data transformation
efforts
Identify and drive process efficiencies.
Ability to adhere to strict deadlines for monthly
closes and regulatory reporting
Ability to manage
complex financial, reporting and regulatory matters or processes
Ability to develop, establish, and operate financial
policies and procedures
Due to the nature of this
position, as a part of our background check process, candidates must
be able to pass a non-registered fingerprint background check to
qualify as a fingerprinted person under FINRA
Currently has, or is in the process of obtaining, a Series
27 Securities License with the expectation that license will be
obtained within one year of hire
Basic
Qualifications:
Bachelor’s degree in Accounting
At least 2 years of Accounting experience and at
least 2 years of broker dealer experience
At least 2
years of experience in people management
Preferred Qualifications:
Master’s
degree in Finance or Accounting
At least 5 years of
of securities industry experience
Financial Industry
Regulatory Authority Series License 7, or 10, or 24, or 27, or any
combination
At this time, Capital One will not
sponsor a new applicant for employment authorization for this position
The minimum and maximum full-time annual
salaries for this role are listed below, by location. Please note that
this salary information is solely for candidates hired to perform work
within one of these locations, and refers to the amount Capital One is
willing to pay at the time of this posting. Salaries for part-time
roles will be prorated based upon the agreed upon number of hours to
be regularly worked.
New York City (Hybrid On-Site):
$147,800 – $168,700 for Manager, Accounting
Candidates hired to work in other
locations will be subject to the pay range associated with that
location, and the actual annualized salary amount offered to any
candidate at the time of hire will be reflected solely in the
candidate’s offer letter.
This role is also eligible to earn
performance based incentive compensation, which may include cash
bonus(es) and/or long term incentives (LTI). Incentives could be
discretionary or non discretionary depending on the
plan.
Capital One offers a comprehensive, competitive,
and inclusive set of health, financial and other benefits that support
your total well-being. Learn more at the Capital One Careers
website . Eligibility varies based on full or part-time status,
exempt or non-exempt status, and management level.
No agencies please. Capital One is an Equal Opportunity
Employer committed to diversity and inclusion in the workplace. All
qualified applicants will receive consideration for employment without
regard to sex, race, color, age, national origin, religion, physical
and mental disability, genetic information, marital status, sexual
orientation, gender identity/assignment, citizenship, pregnancy or
maternity, protected veteran status, or any other status prohibited by
applicable national, federal, state or local law. Capital One promotes
a drug-free workplace. Capital One will consider for employment
qualified applicants with a criminal history in a manner consistent
with the requirements of applicable laws regarding criminal background
inquiries, including, to the extent applicable, Article 23-A of the
New York Correction Law; San Francisco, California Police Code Article
49, Sections 4901-4920; New York City’s Fair Chance Act;
Philadelphia’s Fair Criminal Records Screening Act; and other
applicable federal, state, and local laws and regulations regarding
criminal background inquiries.
If you have
visited our website in search of information on employment
opportunities or to apply for a position, and you require an
accommodation, please contact Capital One Recruiting at 1-800-304-9102
or via email at [email protected] . All information you
provide will be kept confidential and will be used only to the extent
required to provide needed reasonable accommodations.
For technical support or questions about Capital One’s recruiting
process, please send an email to [email protected]
Capital One
does not provide, endorse nor guarantee and is not liable for
third-party products, services, educational tools or other information
available through this site.
Capital One Financial is
made up of several different entities. Please note that any position
posted in Canada is for Capital One Canada, any position posted in the
United Kingdom is for Capital One Europe and any position posted in
the Philippines is for Capital One Philippines Service Corp. (COPSSC).
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