Advisory & Brokerage Controllers - Senior Associate

Capital One
New Orleans, Louisiana, United States
Jan 22, 2023
Feb 21, 2023
Full Time
Place St Charles (37701), United States of America, New Orleans, Louisiana

Advisory & Brokerage Controllers - Senior Associate

Advisory & Brokerage Controllers- Senior Associate

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!


This role will assume the ownership of accounting and data management related to institutional brokerage transactions for Capital One Securities. Candidates should have the ability to manage priorities and meet deadlines in a fast-paced environment. They should 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:
  • Record journal entries and assists with monthly reconciliations and variance review.
  • Perform month-end close and financial reporting processes timely and accurately.
  • Performs accounts receivable oversight including commissions management and client invoicing.
  • Review month end trial balances and affiliate balances to ensure reporting accuracy
  • Performs daily trade review and trade reporting.
  • Manages accounts payable and assists with contract management.
  • Manages ad hoc requests
  • Assists with preparing monthly FINRA FOCUS and quarterly Supplemental Statement of Income (SSOI) reports
  • Prepares and assists with response to audit requests from various regulatory bodies including internal / external auditors, SEC, FINRA, and State of Louisiana
  • Prepares additional regulatory reporting as requested
  • Completes ad hoc financial reporting to internal stakeholders
  • Prepares monthly revenue reporting and analysis across verticals for institutional brokerage transactions
  • Actively engage in and drive results for internal projects and initiatives.
  • Assists in coordination of resources and implementation of financial reporting for new equity research sectors and products
  • Assists in implementing infrastructure for new products from a financial reporting and operational perspective
  • Other duties as assigned

Basic Qualifications
  • Bachelor's degree in Accounting or Finance or military experience
  • At least two years of accounting or securities industry experience or a combination

Preferred Qualifications
  • Financial Industry Regulatory Authority Series 7, 10, 27, 24, 99 or any combination
  • Masters degree in Accounting or Finance
  • At least three years of accounting or securities industry experience or a combination

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

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 . 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

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).