Senior Associate - Advisory & Brokerage Controllers

Capital One
New Orleans, Louisiana
Jun 04, 2022
Jul 03, 2022
Full Time
Place St Charles (37701), United States of America, New Orleans, Louisiana

Senior Associate - Advisory & Brokerage Controllers

Advisory & Brokerage Controllers- Senior Associate

This role will assume the ownership of accounting and data management for Advisory transactions for Capital One's broker dealers. Candidates should have the ability to manage priorities and meet deadlines in a fast-paced environment. Candidates must be able to develop strong relationships with key business partners. Additionally, this role will assist in transitioning to an automated accounting and reporting platform. Candidates should possess the ability to identify technology options and drive implementation of automation solutions.

Key Responsibilities:
  • Willingness to obtain Series 99
  • Record journal entries and prepare monthly reconciliations.
  • Perform month-end close and financial reporting processes timely and accurately
  • Review month end trial balances and affiliate balances to ensure reporting accuracy
  • Prepare monthly invoices for reimbursable expenses to be sent to clients and manage accounts receivable process
  • Prepare invoices for transaction fees to be sent to clients and record revenue earned
  • Serve as liaison between the line of business and centralized accounts payable processing function on all matters related to vendors and accounts payable
  • Prepare/review schedules supporting SEC/FINRA/Regulatory Reporting as well as other ad hoc reporting requests
  • Assist with preparing quarterly FINRA FOCUS and Supplemental Statement of Income (SSOI) reports
  • Prepare and assist with response to audit requests from various regulators and auditors, including the SEC, FINRA, internal audit, and external audit
  • Manage relationships with Finance and key business partners.
  • Coordinate with Accounting Policy associates to ensure proper accounting standards are met
  • Assist with revenue variance analysis and reporting for month end close
  • Identify and drive process efficiencies and automation efforts
  • Actively engage in and drive results for internal projects and initiatives

Basic Qualifications
  • Bachelor's Degree in Finance or Accountingor military experience
  • At least 1 year of experience in accounting, or finance or a combination

Preferred Qualifications:
  • Master's Degree in Accounting or Finance
  • 2 years of relevant experience
  • Hold FINRA Series 99, 7, 10, 24, 27, or 79 License or any combination

At this time, Capital One will not sponsor a new applicant for employment authorization for this position

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 . 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

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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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