Overview In this critical finance role, you will manage month-end close and financial reporting for VMC, including regulatory filings and audits. You collaborate with Compliance, Legal, and business partners to ensure accurate, timely reporting to FINRA and the SEC while safeguarding client assets. You'll contribute to audits and strategic initiatives that support Vanguard's reputation for trust and operational excellence. This role offers growth in broker-dealer operations and regulatory expertise within a mission-driven culture.
Compensation / Benefits Responsibilities- Complete monthly close for the VMC entity
- Prepare and review journal entries including accruals
- Produce Balance Sheet, Income Statement, and Net Capital calculations for FINRA FOCUS reporting
- Hold monthly reviews with FINOP on FOCUS data
- Prepare weekly Customer Reserve calculations per SEC Rule 15c3-3 and manage related bank transactions
- Create quarterly financial statements and a certification package with notes and summaries
- Perform VMC account reconciliations and resolve reconciling items
- Identify and manage accounting/regulatory risks
- Support external audit (PwC) and regulatory audits (FINRA, SEC)
- Coordinate with Compliance and Legal to respond to exam requests
- Participate in special projects and other duties as assigned
Key requirements- Undergraduate degree in accounting or finance (preferred)
- CPA or MBA preferred or equivalent experience
- Excellent written and verbal communication
- Ability to work independently
- Strong computer skills including accounting software, Excel, Word, PowerPoint
- Ability to build relationships with internal and external partners
- 1-2 years of accounting/financial reporting experience
- Working knowledge of GAAP and internal controls
- Excellent communication (written and verbal)
- Independent work capability
- Relationship-building with stakeholders
- GAAP knowledge
- Accounting software proficiency
- Microsoft Excel
