Financial Controller-Securities - truist : Job Details

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**Regular or Temporary:**

Regular

**Language Fluency:** English (Required)

**Work Shift:**

1st shift (United States of America)

**Please review the following job description:**

Primary responsibilities include regulatory reporting, accounting and control activities for Truist Securities, Inc This role will be responsible for various broker-dealer reporting requirements in compliance with GAAP, FINRA and SEC requirements.

**_This position will sit in-office. No remote options available. No other locations will be considered._**

**ESSENTIAL DUTIES AND RESPONSIBILITIES**

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

1. Prepare the weekly Customer Reserve calculation under SEC Rule 15c3-3 for the securities trading business.

2. Calculate broker dealer regulatory capital under SEC Rule 15c3-1 for securities trading and underwriting.

3. Prepare SEC and Fed disclosures for the loan trading line of business.

4. Prepare the quarterly Board of Directors financial statements and annual financial statements for Truist Securities, Inc., along with other financial statements as required.

5. Work with internal, external and regulatory auditors, along with risk partners to ensure a high-quality review/audit process in a timely manner.

6. Obtain an understanding of the business including systems, reports, accounting, regulations and internal controls.

7. Work to build a network and maintain open communication with peers and colleagues, while supporting new initiatives and strategies of the enterprise.

8. Accounting for certain capital markets revenue and expense streams, reporting of revenue for management and tax purposes, along with associated SOX, Operational and Compliance control performance.

**QUALIFICATIONS**

**Required Qualifications:**

The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

1. Bachelor's degree in Accounting, Finance, or equivalent education and related training experience.

2. Two or more years of broker dealer regulatory reporting experience or related field/public accounting firm.

3. Broad risk and regulatory knowledge with an emphasis on financial and compliance risk.

4. Ability to think critically and strategically, multi-task and drive change.

**Preferred Qualifications:**

1. CPA

2. MBA

3. FINRA license - e.g. Series 27, Series 99

**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site (

. Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

**_Truist supports a diverse workforce and is an Equal Opportunity Employer that does not discriminate against individuals on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Truist is a Drug Free Workplace._**

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