Responsibilities

• Assist in the management and completion of the monthly financial close

• Manage and mentor a team of accountants, currently 3

• Preparation and analysis of financial statements, assume lead role for external financial and

regulatory reporting

• Improve, formalize, and partner with Technology to improve/automate processes while maintaining

a strong control environment.

• Opportunity to assume Financial & Operations Principal (FINOP) responsibilities including

monitoring of net capital, ensuring compliance with FINRA and SEC rules, and submission of

related regulatory.