Director of External Reporting
Primary Duties and Responsibilities:
• Prepare all externally-used financial statements, financial disclosures and reports, including SEC filings (mainly Form 10-Q and Form 10-K)
• Oversee the XBRL filing initiative
• Assist in the research and application of technical accounting guidance and in the preparation of position papers to ensure compliance with GAAP and SEC rules and regulations
• Assist in the creation of process and procedures to ensure timeliness of reporting
• Prepare procedural, disclosure and general form checklists
• Interact with external auditors for quarterly reviews and year-end audits
• Interact with peers in other departments for best practice developments and process improvements
• Prepared quarterly compliance certificates in accord with credit facilities
• Assist in preparation of FOCUS reports, SIPC filings and other financial reports required by FINRA
Education / Certification:
• Bachelor’s degree in accounting required
• CPA required
• MBA and/or Master’s degree in accounting preferred
Experience Required:
• SEC registrant reporting requirements
• Investment management knowledge a plus
• SEC registrant reporting requirements
• Investment management knowledge a plus
Skills and Abilities:
• Strong organizational, communication and interpersonal skills
• Strong technical accounting and research skills
• Strong problem-solving and analytical skills
• Ability to interpret complex financial reports
• Ability to balance multiple tasks
• Proficiency in Microsoft Office Suite, specificall
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