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The Modern Brokerage Platform

Senior Accountant, Brokerage

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DriveWealth is a financial technology firm pioneering embedded finance, fractional investing in US equities with a modern API-driven brokerage infrastructure. We’ve built patent-pending technology to fractionalize US equities and were the first to receive a license to do so in 2015. DriveWealth makes it as easy to buy Starbucks stock as it is to buy a Starbucks latte.

Our partners include banking and fin-techs disruptors, RIAs, and global brands who are build investing experiences in 153 countries. By empowering our partners with solutions to embed investing into new and existing digital experiences, they turn consumers into investors. Some of our partners are Revolut, Hatch, MoneyLion, Stake, and Avenue.

We are seeking a Senior Accountant - Brokerage to help take on the day-to-day accounting duties for our Broker-Dealer entities. We are a fast-paced growing company that values dynamic thinkers and innovative problem solvers. If you are up to an exciting challenge and ready to become a critical ally in our organization, we want to talk to you.

In this role, reporting to the Financial Controller, you will work transversally with Finance, Operations and Compliance to answer period-reporting obligation, actively support the internal control framework and support performance management of Carta and its Broker-Dealer subsidiary.


· Assist with month end process, preparation of the Focus and other periodic reporting

· Daily production of account reconciliation and monitoring of other key brokerage operational controls, resolution of breaks between general ledger (NetSuite) and sub-ledger systems (Shadow Financials) to ultimately ensure integrity of downstream Regulatory Reporting feeds

· Ensuring the daily segregation of fully paid securities and weekly computation of the firm’s reserve requirements along with moment to moment compliance with the net capital rules

· Prepare supporting documentation, technical accounting and Broker-dealer guidance interpretation memos to external and internal auditors

· Keeping abreast of regulatory developments and making strategic recommendations for process/control modifications and the oversight of their implementation

· Facilitating regular accounting duties: Accounts Payables/Account Receivables; Account and vendor reconciliations; Revenue recognition; Ad hoc duties and projects as assigned

· You will have direct contact and work with various departments and senior level management


· Bachelor's degree in accounting

· Series 27 preferred, or the ability to obtain within six months

· Minimum of 3 years of relevant experience in financial services, public accounting and/or accounting

· Prior experience with FINRA registered broker dealer or securities industry

· Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment

· Ability to work effectively and supportively within a team environment and the ability to work independently

· Must possess the ability to adapt to a changing business and regulatory environment

· Enjoys challenges and taking ownership of new responsibilities

· Experiences in some aspect of working with FINRA, SEC, and knowledge of regulatory reporting requirements


· CPA a plus

· Series 99 and SIE


  • 401k plan
  • Stock Options
  • Insurance – Health, Dental, Vision, Life, Legal. HSA and FSA options.
  • Flexible working hours
  • Work from home
  • Paid time off and holidays
  • Reimbursement for continuing education and conferences
  • Snacks and beverages available in the office
  • Pet-friendly workplace

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

DriveWealth at a glance

The Modern Brokerage Platform

DriveWealth focuses on Financial Services, Personal Finance, and Financial Technology. Their company has offices in New Jersey, Jersey City, and Chatham. They have a mid-size team that's between 51-200 employees. To date, DriveWealth has raised $10M of funding; their latest round was closed on July 2015.

You can view their website at http://drivewealth.com or find them on Twitter, Facebook, and LinkedIn.