Assistant Manager - Finance - Broker Dealing

Job Description - Broker Dealing- Assistant Manager - Finance

Client - A leading financial services (Confidential)

Location - Pune

Work Mode : Hybrid Role (3 days per week in the Pune Office/2 days remote)

Work Shift : 12:00PM - 9:00PM IST

Key Duties & Responsibilities:

- Assist in the preparation and maintenance of accurate financial statements and reports in compliance with GAAP and FINRA/SEC regulations and interact with FINRA/SEC regulators.

- Oversee daily financial operations of the in-house Broker/Dealers.

- Conduct month-end and year-end closing processes, ensuring timely reporting and reconciliations.

- Collaborate with cross-functional teams to enhance financial processes and implement best practices.

- Provide financial analysis and insights to support business decisions and strategy development.

- Assist with audits (both AML and financial statement audit) and liaise with external auditors as needed.

- Review quarterly FOCUS filings.

- Review Fund 12b-1 Fees, Transaction Based Compensation, and other related money streams.

- Duties may focus on either leading financial and regulatory responsibilities and/or on the supervision and development of team members.

Required Education and Experience

- Minimum of four (4) years of accounting experience, with experience in a broker dealer environment required.

- Minimum of two (2) years of supervisory experience.

Required Skills and Attributes

- Ability to exercise discretion and make independent judgments on matters of significance.

- Demonstrated professional integrity.

- Dependable, flexible, and adaptable to new initiatives and changing client needs.

- Ability to work well in a fast-paced, small-team environment.

- Ability to work independently, multi-task, and prioritize effectively.

- Ability to establish and maintain effective working relationships with colleagues and clients.

- Highly motivated and goal oriented; proactive in one's own education and career progression;

volunteers for and shows initiative on both internal and external projects and tasks.

- Dedicated to upholding high-quality standards and customer service focus.

- Strong organizational and problem-solving skills with attention to detail.

- Strong oral and written communication skills.

- Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet.