Sr. Associate, Accounting - Advisory and Brokerage Controllers

Job Description

Sr. Associate, Accounting - Advisory and Brokerage Controllers

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!

Summary :

This role will assume the ownership of accounting and data management related to brokerage transactions for the Advisory & Brokerage Controllers team. Candidates should have the ability to manage priorities and meet deadlines in a fast-paced environment. They should be able to develop strong relationships with key business partners. Additionally, candidates should possess the ability to identify technology options and drive implementation of automation solutions.

Key Responsibilities :

Record journal entries and assists with monthly reconciliations and variance review.

Perform month-end close and financial reporting processes timely and accurately.

Review month end trial balances and affiliate balances to ensure reporting accuracy

Performs daily trade reviews and trade reconciliations.

Manages ad hoc requests

Assists with preparing monthly FINRA FOCUS and quarterly Supplemental Statement of Income (SSOI) reports

Prepares and assists with response to audit requests from various regulatory bodies including internal / external auditors, SEC, FINRA, and State of Louisiana

Prepares additional regulatory reporting as requested

Completes ad hoc financial reporting to internal stakeholders

Prepares quarterly call report inputs

Actively engage in and drive results for internal projects and initiatives

Assists in implementing infrastructure for new products from a financial reporting and operational perspective

Ability to obtain Series 99 license within one year of joining the team

Basic Qualifications

Bachelor's degree or military experience

At least two years of accounting or securities industry experience or a combination

Preferred Qualifications

​ Financial Industry Regulatory Authority Series 7, 10, 27, 24, 99 or any combination

Bachelor's degree in Accounting or Finance

Master's degree in Accounting or Finance

3+ years of accounting or securities industry experience or a combination

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.

McLean, VA : $94,600 - $107,900 for Sr. Associate, Accounting

New Orleans, LA : $86,000 - $98,200 for Sr. Associate, Accounting

Plano, TX : $86,000 - $98,200 for Sr. Associate, Accounting

Richmond, VA : $86,000 - $98,200 for Sr. Associate, Accounting

Wilmington, DE : $86,000 - $98,200 for Sr. Associate, 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.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE, including disability / vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com

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).