A leading capital markets and broker-dealer platform is seeking a senior finance professional to serve as a key partner to executive leadership and oversee financial reporting, regulatory reporting, tax, treasury support, and finance operations. This highly visible role requires deep expertise in broker-dealer accounting, financial controls, regulatory filings, and capital markets operations.
The successful candidate will operate in a lean environment, partnering closely with senior leadership while maintaining hands-on involvement across accounting, regulatory, tax, audit, and treasury functions.
RESPONSIBILITIES
Lead financial reporting, regulatory reporting, tax, and treasury support activities for a regulated broker-dealer entity.
Prepare and review monthly and annual financial statements in accordance with IFRS and applicable regulatory requirements.
Oversee regulatory filings and ensure compliance with broker-dealer, banking, and tax regulations.
Serve as the primary liaison with regulators, internal auditors, and external auditors while coordinating audit activities and deliverables.
Manage direct and indirect tax reporting, provisions, and compliance requirements.
Partner with Accounting Policy, Financial Reporting, Product Control, Treasury, FP&A, and other finance teams on accounting and reporting matters.
Strengthen internal controls, improve finance processes, and support operational effectiveness initiatives.
Support treasury, capital management, and broader corporate finance activities.
Mentor and develop finance team members while fostering a culture of accountability and continuous improvement.
QUALIFICATIONS
Bachelor's degree in Accounting, Finance, or a related field.
CPA (Canada or U.S.) required.
8+ years of accounting, finance, regulatory reporting, or audit experience within financial services.
Direct broker-dealer, capital markets, investment dealer, or banking experience required.
Strong knowledge of regulatory reporting requirements, financial controls, and financial statement preparation.
Experience with IFRS reporting and financial institution regulatory frameworks.
Familiarity with direct and indirect tax reporting, audits, and treasury-related activities.
Strong understanding of financial institution risk management, governance, and control environments.
Excellent analytical, communication, and stakeholder management skills.
Ability to operate effectively in a hands-on, lean, and fast-paced environment.
Numbers & Facts
Location
Toronto, Canada, NY
Skills
Accountingunmatched
Accounting Policiesunmatched
Accounting Standards and Regulationsunmatched
Analysis Skillsunmatched
Auditingunmatched
Banking Regulationsunmatched
Banking Servicesunmatched
Brokerageunmatched
Capital Marketsunmatched
Certified Public Accountant (CPA)unmatched
Communication Skillsunmatched
Continuous Improvementunmatched
Corporate Financeunmatched
External Auditunmatched
Financeunmatched
Financial Controlunmatched
Financial Managementunmatched
Financial Operationsunmatched
Financial Planning and Analysis (FP&A)unmatched
Financial Regulationsunmatched
Financial Reportingunmatched
Financial Risk Managementunmatched
Financial Servicesunmatched
Financial Statementsunmatched
Internal Auditunmatched
International Financial Reporting Standards (IFRS)unmatched
Investment Capitalunmatched
Leadershipunmatched
Maintain Complianceunmatched
Mentoringunmatched
Operational Strategyunmatched
Operational Supportunmatched
Process Improvementunmatched
Product Controlunmatched
Regulatory Complianceunmatched
Regulatory Reportsunmatched
Regulatory Requirementsunmatched
Regulatory Submissionsunmatched
Tax Regulationsunmatched
Tax Reportingunmatched
Treasuryunmatched
Treasury Managementunmatched
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