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Kingswood U.S. · Miami, Florida
Company Description
Kingswood is an independent Registered Investment Advisor and broker dealer. We provide wealth management, investment banking, and advisory services to individuals, families, and businesses. Our team is built on a commitment to client service, integrity, and long term growth.
This is a
full time, on site
role for a FINOP / Financial Controller located in our Downtown
Miami, FL
office. As a fast growing broker dealer, we are seeking an experienced financial professional to oversee the firm’s regulatory financial reporting, net capital compliance, and core accounting functions. This individual will serve as the firm’s Financial and Operations Principal and work closely with senior leadership, outside auditors, and tax advisors to ensure the firm’s financial operations remain accurate, compliant, and well positioned for continued growth.
Key
Oversee compliance with SEC Rule 15c3 1 (Net Capital Rule) and ensure the firm maintains required liquid capital levels at all times
Own the preparation and submission of regulatory reports, including FOCUS reports filed with FINRA
Manage general ledger accounting, accounts payable and receivable, payroll processing, and monthly balance sheet reconciliations
Manage annual financial audits and serve as the primary liaison with outside accounting and tax firms
Oversee partnership allocations and K 1 reviews
Monitor daily cash controls, banking relationships, and operational liquidity
FINRA Series 27 license required (Series 28 considered for introducing broker experience)
Bachelor’s degree in Accounting or Finance
Deep familiarity with broker dealer regulations and financial services operations
Strong attention to detail and the ability to manage multiple deadlines
Ability to work independently and communicate effectively with senior leadership
CPA (Certified Public Accountant)
Compensation
Details
| Company | Kingswood U.S. |
| Location | Miami, Florida |
| Type | FULL TIME |
| Niche | Full-time |