Position Summary
The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory compliance functions for the broker-dealer operations. This role ensures that all financial reporting, regulatory filings, and compliance requirements are met accurately and timely. The Manager will be a part of the management company accounting team and will have opportunities to expand role. Successful candidates will have a strong background in GAAP accounting and have experience in regulatory compliance within the asset management industry. Manager should possess excellent analytical skills and a solution-based attitude with minimal oversight.
Responsibilities
- Oversee the preparation and review of broker-dealer financial statements, ensuring accuracy and timeliness in a controlled environment and compliance with GAAP and regulatory requirements.
- Manage the month-end close process for the broker-dealer including journal entry reviews and reconciliations as well as ensuring compliance with regulatory requirements and timely monthly filings.
- Develop and update accounting and business policies and procedures to ensure compliance with regulatory changes and best practices including strengthening internal controls.
- Oversee execution of expense sharing allocation policy.
- Maintain and track liquid capital funding requirements.
- Collaborate with internal business partners as well as external service providers on deliverables
- Lead internal and external audits
- Communicate effectively with management, regulatory bodies, and other stakeholders regarding financial and regulatory matters.
- Process ad-hoc analysis and projects as needed
Qualifications
- Minimum of 7+ years of experience in accounting and regulatory compliance within the asset management industry, with a focus on broker-dealer operations preferred
- Bachelor’s degree or higher – Accounting, Finance or a related field. CPA preferred.
- Strong knowledge of GAAP, SEC and FINRA regulations
- Experience with financial systems - Sage Intacct and FloQast preferred
- Effective oral and written communication and interpersonal skills
- Able to prioritize, multi-task, and meet internal/external deadlines
- Attention to detail with high degree of accuracy
- Self-motivated with the ability to work independently and in a team environment
- Strong computer desktop skills required. Advanced skills in MS Excel desirable
Company Overview
Vista is a leading global investment firm that invests exclusively in enterprise software, data and technology-enabled organizations across private equity, credit, public equity and permanent capital strategies. The firm brings an approach that prioritizes creating enduring market value for the benefit of its global ecosystem of investors, companies, customers and employees. Vista’s investments are anchored by a sizable long-term capital base, experience in structuring technology-oriented transactions and proven, flexible management techniques that drive sustainable growth. Vista believes the transformative power of technology is the key to an even better future – a healthier planet, a smarter economy, a diverse and inclusive community and a broader path to prosperity. Further information is available at vistaequitypartners.com . Follow Vista on LinkedIn @Vista Equity Partners or Twitter @Vista_Equity .
