Dixon Hughes Goodman, LLP

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Manager, Broker Dealer, Risk Advisory

at Dixon Hughes Goodman, LLP

Posted: 8/2/2019
Job Reference #: 6447

Job Description

  • Requisition ID
    Risk Advisory
    US-NY-New York
  • Overview

    DHG is a certified public accounting and advisory firm offering assurance, tax and advisory services. With a growing international presence and ranking amongst the top 20 accounting firms in the nation, the firm combine’s deep industry experience with a strong commitment to personal service. DHG understands the complexities and challenges of delivering both regulatory and strategic change initiatives by offering a fresh perspective and innovative solutions to complex risk, compliance, and regulatory concerns. The firm’s consulting and advisory clients include Fortune 500 companies across a variety of industries in all 50 states and internationally.


    • Lead consulting staff in various broker-dealer initiatives that address risk, accounting, operational and regulatory topics
    • Lead Regulatory Reporting projects pertaining to customer reserve (15c3-3) and net capital (15c3-1) computations, FOCUS Reports, monitoring/projection of capital, and other regulatory filings
    • Ability to effectively communicate with client management on topics regarding broker/dealer regulatory reporting
    • Lean / Manage multiple project/reporting teams and troubleshoot daily issues
    • Liaison with various internal (i.e. trading, legal and operations) and external constituencies as needed
    • Exercises independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation
    • Review/evaluate existing processes for efficiency and effectiveness
    • Serves as a key client contact by planning, coordinating, and executing cross-functional risk management projects
    • Coordinates with Manager, Director, or Partner on all phases of the engagement, including execution of the project deliverables, communications with the project team, staffing requirements, job planning, and scheduling
    • Participates in managing relationship with client-side project members to facilitate project fulfillment
    • Continually evaluates project resource requirements delivery to ensure efficient resource allocation, communication, and execution.
    • Promptly brings to the attention of the Manager, Director or Partner any issues or questions that could potentially result in alterations to the project parameters, costs or deadlines
    • Identifies further areas of value-add to create opportunities for future projects
    • Knowledge of FRB regulations related to capital, liquidity, stress testing and resolution planning preferred
    • Proficient verbal and written English communication skills; ability to communicate effectively
    • Human relations skills to deal effectively with visitors, clients, staff, and/or co-workers in a professional manner
    • Professional demeanor towards duties and responsibilities, particularly with regard to independence, professional ethics, and the exercise of professional judgment
    • Must be reliable and able to meet deadlines
    • Strong organizational, time management and interpersonal skills with the ability to perform multiple tasks concurrently with ease and professionalism



    • BA or BS in Business, Accounting, or related field, Master’s Degree preferred
    • 6+ years of broker-dealer experience required
    • 6+ years of professional level project management, reporting, and financial services experience required
    • 4+ years of professional level management experience required
    • Knowledge of SEC broker-dealer regulations required
    • Strong Rule 15c3-1 and 15c3-3 knowledge required
    • Series 27 designation preferred
    • Relevant certifications (CPA, PMP, CISA, CFE) preferred
    • Willingness to travel required
    • Thorough knowledge of accounting principles, practices, and procedures on manual and automated systems preferred
    • Thorough working knowledge of MS Office: Word, Excel, PowerPoint, and Outlook preferred


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