Lupton Partners Job Posting: Accounting Manager – Broker Dealer / RIA

Compensation: $80,000–$120,000 base salary, commensurate with experience, plus comprehensive benefits.

Location: Dallas–Fort Worth, TX (primarily in-office)

Overview

Lupton Partners is recruiting on behalf of our client, a well-established Broker Dealer / RIA organization based in the Dallas–Fort Worth area. The firm is seeking an experienced Accounting Manager to oversee accounting operations, ensure accurate financial reporting, and maintain compliance with applicable regulatory requirements.

This role is primarily in-person, with close collaboration across finance, compliance, and leadership teams. The ideal candidate will bring hands-on broker-dealer and/or RIA accounting experience and thrive in a structured, fast-paced environment.

Key Responsibilities

• Lead the monthly, quarterly, and annual close processes, ensuring timely and accurate financial reporting.
• Prepare and review financial statements, management reports, and required regulatory filings.
• Oversee day-to-day accounting functions, including general ledger, accounts payable and receivable, payroll, and reconciliations.
• Ensure accurate tracking and reporting of commissions, advisory fees, and other revenue streams.
• Develop, document, and maintain accounting policies, procedures, and internal controls.
• Monitor compliance with SEC, FINRA, and applicable state regulatory requirements.
• Serve as a primary point of contact for external auditors, regulators, and third-party vendors.
• Support budgeting, forecasting, and financial analysis initiatives.
• Identify opportunities for process improvements, automation, and increased efficiency.
• Provide leadership and guidance to accounting staff, as applicable.

Qualifications

• Bachelor’s degree in Accounting, Finance, or a related field; CPA strongly preferred.
• 5+ years of progressive accounting experience, including at least 2 years within a broker-dealer and/or RIA environment.
• Strong working knowledge of SEC, FINRA, and state regulatory requirements.
• Experience preparing and supporting regulatory filings.
• Series 27 preferred.
• Proficiency with accounting systems and advanced Microsoft Excel skills.
• Strong analytical, organizational, and communication abilities.
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
• Prior leadership or supervisory experience preferred.

Preferred Experience

• Experience working within dual-registered Broker Dealer / RIA organizations.
• Familiarity with commission-based and advisory fee revenue models.
• Involvement in system implementations, process optimization, or automation initiatives.

Our Talent Vision

Lupton Partners’ recruiting and talent optimization practice operates with two clear purposes centered around the people side of the business equation.

For talent, we recognize that making a career move is both exciting and stressful, guiding individuals to find higher meaning and reward in their careers.

For clients, we understand that the talent equation involves aligning business and people strategies, retaining and empowering talent, and attracting the best available candidates.

We specialize in various sectors, including banking and financial services, legal and counsel, finance and accounting, and executive recruiting—helping organizations align people strategies with business goals, boost productivity, and adapt to change.