SVP - Controller




New York, New York

Employment Type



Global publicly traded asset manager!

Job Description:

Compensation : $200000 - $400000
Job ID : 13318


This individual will lead the monthly and quarter-end close process, including consolidations and revaluation of non-US entities, oversee global regulatory reporting for domestic broker dealer and foreign regulated entities, manage all global commercial banking relationships, obtain a full understanding of all tax related aspects for each legal entity as well as consolidated holding company, review and provide comments, insight, and suggestions, SEC filings (10-Q, 10-K, Proxy, etc.). Recommend process improvements to increase efficiency or analyzing financial information & assist senior management with developing/managing the department and firm’s strategic goals and objectives.  


Major Responsibilities/Activities:

  • Corporate general ledger:
    • Responsible for books and records of all global legal entities as well as consolidated firm
    • Detailed reporting and analysis of all revenue and expense categories
    • Composition and analysis of all balance sheet captions
    • Review supporting documentation/workpapers of all legal entities
    • Supervise accounts receivable and revenue recognition for the investment advisor as it relates to mutual funds, institutional accounts, and model portfolios
    • Oversee accounts payable process
    • Work closely with other departments during the close and reporting process


  • Financial / Regulatory Reporting:
    • Review and approve supporting schedules and reports for Form 10-Q and 10-K
    • Active participant in the creation, review, and approval of the semi-annual/annual financial statements of domestic broker dealer and overseas offices
    • Review and submit all regulatory filings for domestic broker dealer and overseas offices


  • Sarbanes-Oxley Compliance:
    • Responsible for maintaining financial controls
    • Participate in the design and implementation of key controls
    • Assist and oversee outsourced internal audit service provider with testing


  • Treasury:
    • Manage firm liquidity
    • Oversee all firm seed investments including hedging long exposure(s)
    • Manage all global banking relationships
    • Responsible for hedging non-dollar receivables
    • Coordinate funding of firm initiatives including year-end compensation
    • Present investment opportunities for excess cash


  • Other:
    • Oversee the preparation and reporting of Assets Under Management (AUM)
    • Work closely with the Tax department to provide information necessary for all provisions, filings, and payments
    • Represent Finance in new product launches and various working groups
    • Lead for investment advisor activity relating to fund board presentations
    • Present results of operations and profitability to boards of directors for the firm’s mutual funds and foreign subsidiaries
    • Liaison for internal and external auditors
    • Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
    • Perform other duties and responsibilities as assigned
    • Manage staff of financial control, regulatory reporting, and accounts payable employees

Job Requirements:


  • 20+ years of combined public/private experience in the financial services industry (public asset management industry experience a plus) with solid experience in a leadership role
  • Bachelor’s degree with major in accounting. Master’s degree and CPA preferred
  • Strong accounting and analytical skills
  • Series 27 a plus; or obtaining upon hire
  • Strong written and verbal communication skills – interaction with senior management
  • Ability to work and collaborate with others
  • SAP and BPC experience preferred
  • Strong pc skills (MS Excel and PowerPoint)
  • Demonstrates inclusive behaviors in support of a culture that values diverse perspectives