The Assistant Controller will oversee accounting operations, including accounts payable, accounts receivable, general ledger, and financial reporting. Responsibilities include preparing financial statements, budgets, and forecasts; managing cash flow and investments; maintaining financial policies, procedures, and internal controls; supporting compliance; and partnering with banks, auditors, and internal departments. The role also involves mentoring accounting team members and improving financial processes.

Supports broker-dealer and investment-advisor compliance by reviewing annuity applications and 1035 exchanges, conducting representative surveillance, performing KYC and CDD checks, maintaining Written Supervisory Procedures, coordinating compliance reporting, and overseeing regulatory training. The analyst advises business partners on FINRA and SEC requirements, assists with compliance projects, and reports to the Chief Compliance Officer.