Manager, Broker Dealer, Risk Advisory

DHG is a certified public accounting and advisory firm offering assurance, tax and advisory services. With a growing international presence and ranking amongst the top 20 accounting firms in the nation, the firm combine's deep industry experience with a strong commitment to personal service. DHG understands the complexities and challenges of delivering both regulatory and strategic change initiatives by offering a fresh perspective and innovative solutions to complex risk, compliance, and regulatory concerns. The firm's consulting and advisory clients include Fortune 500 companies across a variety of industries in all 50 states and internationally.

• Lead consulting staff in various broker-dealer initiatives that address risk, accounting, operational and regulatory topics
• Lead Regulatory Reporting projects pertaining to customer reserve (15c3-3) and net capital (15c3-1) computations, FOCUS Reports, monitoring/projection of capital, and other regulatory filings
• Ability to effectively communicate with client management on topics regarding broker/dealer regulatory reporting
• Lean / Manage multiple project/reporting teams and troubleshoot daily issues
• Liaison with various internal (i.e. trading, legal and operations) and external constituencies as needed
• Exercises independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation
• Review/evaluate existing processes for efficiency and effectiveness
• Serves as a key client contact by planning, coordinating, and executing cross-functional risk management projects
• Coordinates with Manager, Director, or Partner on all phases of the engagement, including execution of the project deliverables, communications with the project team, staffing requirements, job planning, and scheduling
• Participates in managing relationship with client-side project members to facilitate project fulfillment
• Continually evaluates project resource requirements delivery to ensure efficient resource allocation, communication, and execution.
• Promptly brings to the attention of the Manager, Director or Partner any issues or questions that could potentially result in alterations to the project parameters, costs or deadlines
• Identifies further areas of value-add to create opportunities for future projects
• Knowledge of FRB regulations related to capital, liquidity, stress testing and resolution planning preferred
• Proficient verbal and written English communication skills; ability to communicate effectively
• Human relations skills to deal effectively with visitors, clients, staff, and/or co-workers in a professional manner
• Professional demeanor towards duties and responsibilities, particularly with regard to independence, professional ethics, and the exercise of professional judgment
• Must be reliable and able to meet deadlines
• Strong organizational, time management and interpersonal skills with the ability to perform multiple tasks concurrently with ease and professionalism


• BA or BS in Business, Accounting, or related field, Master's Degree preferred
• 6+ years of broker-dealer experience required
• 6+ years of professional level project management, reporting, and financial services experience required
• 4+ years of professional level management experience required
• Knowledge of SEC broker-dealer regulations required
• Strong Rule 15c3-1 and 15c3-3 knowledge required
• Series 27 designation preferred
• Relevant certifications (CPA, PMP, CISA, CFE) preferred
• Willingness to travel required
• Thorough knowledge of accounting principles, practices, and procedures on manual and automated systems preferred
• Thorough working knowledge of MS Office: Word, Excel, PowerPoint, and Outlook preferred

Back to top