Director, Broker Dealer Accounting (Fluent in Spanish)

Responsibilities: Own and review the firm’s net capital computation (Rule 15c 3-1) and manage the firm’s current Rule 15c 3-3(k) exemption determinations and monthly FOCUS Report filings; the full reserve and possession-or-control computations under Rule 15c 3-3 are not applicable under the firm’s current introducing-broker model and would only become applicable if and when the firm transitions to self-clearing. Prepare and review U.S. GAAP financial statements and supporting schedules (Statement of Financial Condition, Operations, Changes in Member’s Equity, Cash Flows) for the annual X-17A-5 filing. Manage the relationship with external auditors and coordinate the annual audit, exemption report, and related compliance review processes. Partner with Compliance and Operations to remediate and prevent exemption exceptions and to strengthen the control environment ahead of the planned transition to self-clearing. Lead technical accounting analysis for new products and business lines, including structured products, repo/reverse repo, and expanded international securities activity. Support the CFO on the firm’s clearing-broker transition project, including net capital modeling, build-out of the customer reserve formula, and broader regulatory readiness work. Manage and develop a team of 1 Associate Director and 2 Analysts, including coordination of the Brazil-based outsourced resources, ensuring quality and timeliness across all deliverables. Drive automation and process efficiency using Excel, Power Point, and AI-enabled tools to reduce manual work in reporting, reconciliations, and month-end close. Serve as a key point of contact with head office in Brazil on accounting policy, reporting, and consolidation matters. Support regulatory examinations and inquiries (SEC, FINRA, CFTC/NFA) and internal audit requests as needed.

Qualifications: MUST speak Portuguese or Spanish Bachelor’s degree in Accounting, Finance, or a related field. Expertise in U.S. broker-dealer accounting and net capital / customer reserve computations under SEC Rules 15c 3-1 and 15c 3-3.Substantial, progressive experience in broker-dealer finance and regulatory reporting (introducing or clearing broker-dealer environment, Big 4/audit practice serving broker-dealers, or a regulator such as FINRA/SEC).Strong Excel and Power Point skills, and comfort adopting AI-enabled tools to automate manual processes and improve efficiency. Demonstrated people-management experience, including managing distributed or outsourced team members.

Preferred Skills: CPA is a plus but not required. Series 27 (Financial and Operations Principal) is a plus; if not currently held, certification will be required within the first year of employment.