Title: Controller

About the Company:

Chardan is an independent global investment bank specializing in healthcare, technology, SPACs and emerging growth companies. Our range of services include capital raising, merger and acquisition advisory, strategic advisory, equity research, corporate access, and institutional trading. Headquartered in New York City, Chardan is a registered broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: FINRA, SIPC, and NASDAQ. 

Chardan is seeking a controller for a high visibility role, reporting directly to the Chief Financial Officer.  Core responsibility includes principal accounting resource, responsible for the firm’s accounting activity and GAAP reporting.   Supports internal accounting policy and processes and is the principal accounting representative who interacts regularly with investment banking groups and functional department heads.  Financial planning and analysis (FP&A), including supporting design and implementation of a budgeting and reporting framework will also be included as a part of the job responsibilities.

Job Responsibilities

Accounting: 

• Assist in the daily and monthly accounting processes for our broker-dealer operations.
• Serve as a key finance and accounting resource within the organization, under the guidance of CFO, and in close coordination with external auditors.  Develop and maintain a thorough understanding of the financial reporting and general ledger structure of a broker-dealer / investment bank.
• Act as the primary internal accounting point of contact on behalf of the CO and FINOP for accounting operations, including, but not limited to recording and analyzing revenue, compensation, accounts payable, T&E, and reporting, analysis, and audit support.  Prepare key financial reports and analysis for management.
• Drive the monthly close process, including recording journal entries, preparing reconciliations, and financial analysis schedules.
• Review and maintain finance-related policies and procedures for the organization; continuously assess finance processes and procedures, including controls and governance.
• Assist with the annual audit process, including preparing supporting schedules, managing financial, analytical, and compliance issues.
• Maintain internal and external relationships with auditors, banks, vendors, etc. as necessary and appropriate.
• Other ad-hoc financial analysis.

Regulatory:

• Primary point of contact for periodic regulatory audits and inquiries. Prepare for review all necessary monthly (FOCUS Rule 17a-5), quarterly, and annual regulator financial reporting; Primary point of contact on behalf of the CFO and FINOP with regulatory agencies for financial reporting.
• Specific reports: Monthly, Quarterly and Annual FOCUS reports, Schedule I reports; Quarterly SSOI reports and Form Custody filing; SIPC 6 and SIPC 7 filings.
• Provide FINRA Examination Support.

Management Reporting:

• Support recurring reporting to the executive team including budget-to-actual analyses, reforecasts, cash and liquidity and relevant KPI’s to each business or department.
• Provide modeling support to the budgeting and planning process; track and report consolidated and group level results across revenue producing groups and functional / overhead departments; interact regularly with the organization at all levels, to support the budgeting and management reporting framework.

Job Qualifications

• Bachelor’s degree, preferably in Accounting or Finance; CPA required.
• Minimum experience:  5+ years accounting experience, in corporate accounting or accounting firm; 5+ years financial services (including broker dealer) firm experience strongly preferred.
• Proficiency in GAAP and Regulatory reporting.
• Proficient in ledger systems (QuickBooks a plus), including standard reporting tools.
• Proficiency in MS Outlook, Word, Excel, PowerPoint.
• Self-starter, with good problem solving and decision-making skills. Ability to manage multiple tasks, meet deadlines, and work effectively with minimal supervision is essential.
• Highly organized and efficient, detail oriented.
• Good judgment and discretion regarding sensitive and/or confidential information.

To apply: Please send resumes to careers@chardan.com.

Chardan is an Equal Opportunity/Affirmative Action employer and does not discriminate on the basis of race, gender, ancestry, color, religion, sex, age, marital status, sexual orientation, gender identity, national origin, medical condition, disability, veteran’s status, or any other basis protected by law.