Accounting Manager, Broker Dealer (Remote-Eligible)

Capital One
New York, New York, United States
Sep 04, 2023
Oct 04, 2023
Full Time
NYC 299 Park Avenue (22957), United States of America, New York, New York

Accounting Manager, Broker Dealer (Remote-Eligible)

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.

  • 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
  • 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

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
  • 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

Preferred Qualifications:
  • Master's degree in Finance or Accounting
  • At least 5 years of securities industry experience
  • Financial Industry Regulatory Authority Series License 7, or 10, or 24, or 27, or any combination

Capital One is open to hiring a Remote Employee for this opportunity.

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

Remote (Regardless of Location): $125,300 - $143,000 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 . 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).