The Broker-Dealer Controller is a senior finance leader and is responsible for operational accounting, financial reporting, and internal controls for introducing retail brokerage broker-dealer and a self-clearing capital markets broker-dealer. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.