Manager, Broker Dealer, Risk Advisory

As a national top 20 CPA and advisory firm, we have deep industry experience, comprehensive accounting and advisory services expertise. We have a strong commitment to provide insight and value to our national and international clients. In joining DHG, you will not only receive valuable, diverse experiences but you will have opportunities to add significant value to your own professional portfolio.

• 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

Meet Some of DHG's Employees

Prashant P.

Risk Advisory Senior Manager

Prashant delivers a superior quality product through reviewing and challenging deliverables, focusing on execution, and staying up to date on the latest industry trends. He continuously encourages his team to work together to achieve excellent client service.

Shilpa K.

Risk Advisory Manager

Shilpa is responsible for managing an engagement team and exceeding client expectations. Internally, Shilpa serves as a performance coach to several DHG team members—she sees herself as their guide, helping them navigate through their many career opportunities.

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