Sr Accountant (SOX Compliance)

Need to have come from a Bank of Financial Services company within the last 3-4 years. Required Skills and Experience ... • A Bachelor’s degree or equivalent in Accounting/related field or a Masters in Accounting, plus five years’ experience in a Controller position or similar. Total of 10+ Years in Accounting/Finance • Proficient in Microsoft Excel, Access, and Word in automating tasks and organizing data for analytical purposes with pivot tables and charts (advanced Microsoft Excel skills required). • Strong PeopleSoft general ledger skills. • Thorough knowledge of accounting principles and procedures. • Serries 99 or 27. • Proficient with financial statements and SEC reporting. • Familiarity with SOC1, Sarbanes Oxley (SOX) reporting requirements. • Excellent verbal and written communication skills. • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this Nice to Have Skills and Experience • Certified Internal Auditor (CIA) or other relevant internal audit certification • Experience with internal controls frameworks (e.g., COSO) • Strong understanding of risk assessment methodologies Job Description * The Reporting Accountant is responsible for preparing financial statements and reports needed to comply with regulatory requirements. Organizes and presents financial reports to company management.; Provide reports and point of contact for auditors during an external audit; preparing, generating, maintaining, and ensuring the accuracy of all information and managing deadlines. Competencies • A collaborative team player, approachable, self-sufficient and influences a positive work environment. • Detail-oriented with a strong commitment to preparing accurate work. • Resilient, with the ability to take a high level of responsibility in a fast paced and high-volume environment. • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness. Responsibilities: • Prepare quarterly and annual financial statement analytics for the Group’s US companies. • Assist in the preparation of the financial statements and footnotes for the Group’s US companies. • Assist with the coordination of the interim and annual audits. • Assist in the documentation, analysis and maintenance of accounting and reporting policies/procedures. • Update accounting policies as required for changes in GAAP and regulatory requirements. • Prepare filings for US Bureau of Economic Analysis (quarterly) • Ensure financial statements and reports comply with regulatory requirements. • Implement appropriate Internal Controls over Financial Reporting • Identification of major risks of internal processes within the company. • Reporting will include monthly income/expense, balance sheet, ratio reporting, department allocation information, profitability statements, and other reports as requested. • Checking and cleaning data, taking special care to replace erroneous values with correct figures. Analysing data, with due consideration for the influence of missing information, outliers, plus confounding and extraneous variables. • Establish and maintain internal stakeholder relationships through effective communication, negotiation, and issues management to engage stakeholders. • Establish and maintain Accounting Policy and Procedures • Implement and monitor administrative controls to identify problems and issues with internal processes and recommend required solutions. • Carry out a series of monthly checks to validate accuracy of financial reporting and confirm key account reconciliations have been performed. • Prepare periodic statements that present the financial status at a certain point in time or over a stated time period. • Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. • Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with. • Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values. • At all times complying with Marex’s Code of Conduct. • To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility. • To report any breaches of policy to Compliance and/ or your supervisor as required. • To escalate risk events immediately. • To provide input to risk management processes, as required. • Proficient with financial statements and SEC reporting • Familiarity with SOC1 reporting requirements. • Excellent Word and Excel skills • Familiarity with Sarbanes Oxley reporting requirements. Monthly and Year End - Assist in all phases of the closing and reporting functions, including: • Analyse variances in income and expense statements and balance sheet accounts monthly. • Apply principles of accounting to analyse financial information and prepare financial reports. • Assist in year-end audits and manage ad-hoc inquiries from external auditors