This site uses cookies. To find out more, see our Cookies Policy

Manager of Broker Dealer Accounting & Reporting in Nashville, TN at Vaco

Date Posted: 7/6/2018

Job Snapshot

  • Employee Type:
  • Location:
    Nashville, TN
  • Job Type:
  • Experience:
    5 to 12 years
  • Date Posted:
  • Job ID:
    Mgr of Broker Dealer

Job Description

About AllianceBernstein (AB)

We are an extraordinarily client-focused asset management firm with unique capabilities to provide world-class offerings to our clients across the full spectrum of asset management and to foster their financial success. High-quality research is at our core, and we apply our intense research to deepening our understanding of today's constantly changing financial environment. Our reach with institutional and retail clients is worldwide-we operate on a global scale, which is critical today because of the interdependence of financial markets, and our highly respected private client business shows that we have understood how to translate research into results for over 40 years.

AB's Move to Nashville

AB's new office in Nashville will be home to the company's new corporate headquarters and will embody AB's relentless ingenuity and extraordinary client focus. The future HQ will be home to the finance, technology, operations, legal, compliance, internal audit, human resources, and sales and marketing functions. AB's move to Nashville is a strategic long-term investment by our company, in a vibrant and growing city that is committed to developing its infrastructure, supporting local business and attracting new talent, not to mention the myriad benefits that it provides AB employees (e.g., lower taxes, shorter commutes, lower cost of living).

Why AB?

Whether you are a summer intern, a new associate or a seasoned professional, you will quickly sense something unique at our firm. We call this our culture of relentless ingenuity.

Relentlessness continuously moves us forward. We want to win for our clients, and we are both tenacious and resolute as we pursue this goal. We balance our relentlessness with ingenuity, which we consider an intellectual trait. We are endlessly curious, always seeking to transform stale ideas and received wisdom into fresh insights and bold new ways to help our clients succeed.

At AB, we will value you as an individual and welcome you as part of a motivated team. Our work environment is dynamic and exciting, with a vibrant mix that includes people from a wide variety of academic backgrounds, some of whom are just starting their careers and some of whom are seasoned professionals with excellent track records of success. We know that we can only build better outcomes for our clients with a strong set of shared values.

We are also deeply committed to Diversity and Inclusion. We hire the best and brightest people, without restriction, and this creates a unique environment of energy, teamwork and trust.

About Vaco

AB has partnered with Vaco, a consulting, contract and direct hire firm founded in Nashville, TN to find the right accounting, finance, marketing, and sales talent. Having spent time with the team at AB, Vaco is uniquely poised to find the best people to serve in these new positions.

Job Description:

The Broker-Dealer Accounting/Regulatory Reporting team of AB is in search of a manager, Broker Dealer Accounting and Reporting to join their U.S. Controller's organization. The candidate will report to the Director of Broker Dealer and Investment Management Reporting and will be involved in the monthly and quarterly close of the Company's two broker-dealers. The position is primarily responsible for accounting, management and regulatory reporting, including the FOCUS filings, related to our broker-dealers. The position will partner with other members of the finance team including, General Accounting, Tax, Treasury, Legal and Compliance. In addition, key constituents will include, Information Technology, Operations, and the external audit team. The candidate will play an integral role working with the front-line business teams to ensure that they are aware of the Financial and Operational rules of a U.S. Broker-Dealer and ensure that the company is in continual compliance.

Specific responsibilities will include but not be limited to:

  • Review all accounting, including general ledger entries, related to our broker dealers
  • Provide analytics and commentary related to monthly, quarterly and annual results
  • Prepare audited financial statements and provide information for the Company's SEC reporting requirements
  • Prepare regulatory reports and calculations including the customer reserve (15c3-3) and net capital (15c3-1) computations, FOCUS Reports, and other filings
  • Monitor and project capital requirements
  • Manage audits and communicate with industry regulators to ensure that the accounting and disclosures are proper and meet all relevant requirements
  • Stay abreast of all regulatory and accounting regulations


  • Knowledge of SEC broker-dealer regulations required
  • Strong Rule 15c3-1 and 15c3-3 knowledge required
  • Thorough knowledge of accounting principles, practices, and procedures
  • Strong management skills with ability to build organizations and develop teams
  • Well-organized with the ability to prioritize
  • Strong communication and interpersonal skills, collaborative by nature
  • Proficient in Excel
  • Attention to detail and problem-solving ability
  • Strong client focus with the ability to respond timely
  • Manage communications with external auditors and industry