Accounting Manager (FINOP) – Broker Dealer / RIA
Location: Dallas–Fort Worth, TX (Where the magic happens)
The Numbers: $80,000 – $120,000 Base Salary + Comprehensive Benefits
The Big Picture
Our Client isn't just another financial firm; they are a 7-time "Broker-Dealer of the Year" winner that has spent over 40 years mastering the "Gold Standard" of service. Based in the DFW area, they’ve built a national reputation by marrying the sophistication of Wall Street with the warmth of a boutique, family-oriented culture. They are currently in a high-growth phase, scaling with sincerity and looking for an Accounting Manager who wants to do more than just "push numbers"—they want someone to help protect and grow the firm’s legendary reputation for integrity.
The Mission
Your goal is to be the Guardian of Financial Integrity. As the Accounting Manager, you are the backbone of the firm’s finance and compliance engine. This role requires a "Think Team First" mentality and a relentless focus on precision. You’ll lead the charge on everything from monthly close cycles to complex regulatory filings (SEC/FINRA), ensuring that the firm remains bulletproof while supporting its rapid trajectory. If you’re a CPA-caliber professional who thrives in a fast-paced, high-accountability environment, this is your seat.
The Daily Grind (The Good Kind)
- Financial Command: Lead the monthly, quarterly, and annual close processes. You own the financial statements and the management reports that drive executive decision-making.
- The Compliance Shield: Monitor and ensure absolute compliance with SEC, FINRA, and state regulatory requirements. You’ll be the primary point of contact for external auditors and regulators.
- Operational Oversight: Manage day-to-day accounting functions, including General Ledger, AP/AR, payroll, and complex reconciliations for commissions and advisory fee streams.
- Process Evolution: Identify opportunities for automation and process improvement. You aren't just following the manual; you’re helping write the next version of it.
- Strategic Support: Partner with leadership on budgeting, forecasting, and financial analysis initiatives.
Your Toolkit
- The Battle Scars: 5+ years of progressive accounting experience, with at least 2 years specifically inside a Broker-Dealer or RIA environment.
- The Credentials: Bachelor’s degree in Accounting or Finance; a CPA is strongly preferred. Series 27 is a major "green flag."
- Regulatory Mastery: Deep working knowledge of SEC, FINRA, and state filing requirements.
- Tech Power User: Advanced Excel skills (formulas/data analysis) and proficiency with modern accounting systems.
- The "Bring It" Attitude: Highly organized, communicative, and capable of managing multiple priorities without losing your cool under pressure.
The Payoff
- Compensation Detail: A base salary of $80K – $120K (commensurate with experience).
- Comprehensive Perks: A full-suite benefits package including health, retirement, and the chance to work in a culture that treats employees like family.
- Impact: This is a high-visibility role where you aren't just a cog in a machine; you are an essential leader in a firm that values your personal and professional growth.
Our Partnership Approach
Thank you for trusting Lupton Partners with your career transition. We take immense pride in our work, but our focus is always on the outcome—for both the candidates we represent and the companies we serve.
If the first role we discuss isn't the perfect fit, we won't force it. Our goal is to land you in the right place, not just the next place. We also recognize that career changes—even the most exciting ones—come with a side of stress. That’s normal. We’re here to handle the heavy lifting and provide clarity at every step.
What to Expect
- The Introduction Call: This is a high-level chemistry check. We’ll dive into your history, map out your career goals, and get real about compensation and advancement targets.
- Active Searches: We’ll match your story to our clients' needs. We keep compensation targets front-and-center so nobody’s time is wasted.
- Client Submissions: It is our promise that we do not present your name or credentials to clients without clear communication and your explicit permission. To keep the process clean, please hold off on direct applications to our clients once we’ve engaged.
- Interview Feedback: This is where we earn our keep. Call us as soon as you hit the parking lot. If you think you fumbled a question or found a better answer ten minutes too late, let’s talk—we can often help navigate the recovery.
- Background Checks: Transparency wins here. If there’s a potential red flag in your background, drug screen, or credit report, tell us now. We can often manage the narrative if we know the facts, but surprises usually end the process.
- Offers: No surprises. We’ll walk through a verbal offer together before the formal letter arrives. Since we align on numbers in our first call, this stage should be a “green light” celebration.
Questions? Reach out anytime. Travis Lupton Office: 913-521-3303 | Mobile: 913-231-8472
travis@luptonpartners.com