Controller

About the Company

Founded in 1977, Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Services Group is a full-service financial advisory and brokerage unit with 40 financial advisors serving more than 5,000 clients in 46 states. Services include securities trading, investment management, estate planning, wealth management and insurance. Second, the Investment Banking Group provides advice on capital raising, mergers and acquisitions and other services to specialty finance and emerging growth companies throughout the country.

About the Position

Reporting to the CEO and serving as a member of the management team, the Controller will possess excellent financial, analytical and problem-solving skills and extensive experience as a financial executive in a financial services firm.

Responsibilities

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Maintain end-to-end accounting for the firm

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Prepare financial statements for use by Financial Operations Principal in preparing net capital computations and regulatory filings

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Manage accounts payable and accounts receivable function

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Reconcile bank accounts and settlement statements from our clearing firm, RBC Clearing and Custody

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Head financial audit and the financial portion of FINRA and SEC examinations

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Monitor daily inventory and net capital exposure

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Act as 401(k) Trustee and Administrator

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Through a third-party administrator, manage the firm’s benefits programs

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Work with outside accounting firm to prepare audits and tax returns

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Maintain corporate minute book

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Prepare reports as required by the CEO

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Serve as a member of the firm's management committee

Requirements

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Prior financial management experience required

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Excellent analytical and problem-solving skills

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Excellent written and verbal communication skills

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Superior leadership and organizational skills