Job Purpose
BTIG are seeking a detail-oriented and proactive Financial Controller to join our dynamic UK-based broker-dealer. The successful candidate will be responsible for ensuring the integrity, accuracy, and timely delivery of financial information within the firm, with a core focus on the preparation of statutory financial statements and the effective management of audit processes. You will play a central role in upholding regulatory compliance (including FCA regulations), managing internal controls, and leading interactions with external auditors.
Duties and Responsibilities
- Act as the primary liaison with external auditors throughout annual and interim audit cycles.
- Coordinate the compilation and submission of all audit-related documentation and schedules.
- Address auditor queries in a timely manner, ensuring that requests are fulfilled with accuracy and completeness.
- Facilitate audit planning meetings, status updates, and follow-up on action items or recommendations.
- Lead on resolving audit findings, documenting remediation plans, and implementing process improvements as necessary.
- Oversee the preparation of monthly management accounts and annual statutory financial statements in line with UK GAAP.
- Ensure that all statutory accounts and supporting schedules are prepared accurately, meeting deadlines for filing with FCA and Companies House.
- Maintain comprehensive and up-to-date documentation to support all entries and disclosures in the financial statements.
- Lead the preparation and submission of FCA regulatory returns (including MIFIDPRU and other relevant reports).
- Coordinate with Compliance functions to embed and monitor best practices for regulatory and financial reporting.
- Maintain and enhance internal financial controls, policies, and procedures.
- Review key P&L and balance sheet reconciliations.
- Recommend and implement procedural or system enhancements to strengthen audit and reporting efficiency.
- Work with existing finance team members (including overseas teams), providing technical guidance and training.
- Support budgeting, forecasting, and ad hoc finance projects as required.
- Foster cross-functional collaboration with Operations, Compliance, and Technology teams.
Requirements & Qualifications
- Qualified accountant (Big Four preferable).
- Minimum of 5 years’ PQE in financial control, ideally within a UK broker-dealer or audit manager within financial services.
- Strong understanding of UK GAAP and FCA regulatory requirements.
- Demonstrated expertise in statutory financial statement preparation and managing annual audits.
- Robust analytical, organisational, and communication skills, with proven ability to effectively manage multiple priorities and deadlines.
- Advanced Excel capabilities and familiarity with accounting/ERP systems.
- Meticulous attention to detail and a commitment to delivering high-quality outputs.
Important Notes:
- Must be authorised to work full time in the U.K., BTIG does not offer sponsorship for work visas of any type
- No phone calls please, the applicant will be contacted within two weeks if successful
About BTIG:
BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 700 employees, BTIG, LLC and its affiliates operate out of 20 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities. The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. BTIG is an equal opportunity employer Minorities/Females/People with Disabilities/Protected Veterans/Sexual Orientation/Gender Identity.
Disclaimer: https://www.btig.com/disclaimer.aspx.
Top Skills
What We Do
BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. Located throughout the U.S., and in Europe, Asia and Australia, our professionals leverage their expertise to service clients at every stage of the investment lifecycle. Fueled by our passion to help maximize results for our institutional and corporate clients, BTIG offers personalized multi-asset class execution, expertise and insights worldwide across equities, equity derivatives, ETFs, fixed income, futures, commodities, foreign exchange, interest rates, credit, and convertible and preferred securities. The firm’s core capabilities include global sales, portfolio, electronic and outsource trading, transition management, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
With a team of seasoned industry experts, BTIG provides end-to-end solutions for a diverse global client base. As we look to unlock value and propel growth for clients, we are consistently capturing market share year after year. Committed to excellence, we are proud of our rich history of designing solutions that help our clients achieve their objectives.
For more information about BTIG, please visit www.btig.com.
Member of FINRA and SIPC.
