Broker Dealer Accountant

Business and Financial Operations

New York, NY

Job Overview

Cowen Inc. is seeking a Broker-Dealer Accountant to join its legal entity control division in New York City.

The successful candidate will be responsible for the team’s effort in accurate and timely reporting of its GAAP books and records and regulatory filings for a U.S. broker-dealer.


  • Assist in the coordination, preparation and management of our timely month end close.
  • Coordinate with Operations & Middle Office to ensure our back-office settlement system is line with books and records. Diagnose & problem solve where issues arise. Solve up-stream challenges to alleviate the burden on month end close
  • Review month end balance sheet & income statement for respective product areas ensuring product controllers reconciliations are accurate with respect to correct GAAP & regulatory treatment.
  • Oversee preparation of financial reporting package to facilitate senior management review as part of the monthly FOCUS process.
  • Accountable for preparation of semi-annual U.S. GAAP financials and associated footnotes.
  • Heavily liaise with all external & internal audit counterparts. Responsible for efficiently driving audits to completion.
  • Analyze financial information with a key focus on control and compliance and addressing new requirements, including new reporting alongside accounting policy.
  • Participate in the implementation of significant analytical and reporting processes, procedures and systems using the Company’s control framework.
  • Assist with the integration planning and implementation as part of the TD acquisition.

Job Requirements/Qualifications:

  • Bachelor’s Degree in Accounting and 8+ year work experience preferred (Masters a plus but not required)
  • Working knowledge of broker-dealer regulatory environment is a must.
  • FINRA Series 27 preferred but not required and CPA /CFA a plus.
  • Organized, detail oriented and self-motivated individual with strong analytical skills
  • Understanding of public company Sarbanes-Oxley controls and importance of adherence to them.
  • Highly proficient with Microsoft Excel.
  • Ability to work within deadlines while still providing a high-quality work product.

Who We Are

Cowen Inc. (“Cowen” or the “Company”) is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide.

At Cowen, inclusion and diversity are catalysts for success and innovation in everything we do. We pride ourselves on our empathetic and collaborative culture, where the power of diversity is harnessed to transform the status quo. Our focus on inclusion expands our thinking in order to generate better outcomes for clients, while striving to increase fairness and equity for our colleagues. Cowen’s vision of creating a more inclusive and equitable future is supported by our core values and is essential to our ability to outperform.

Our Values

  • Vision: We consistently deliver differentiated and disruptive insights that help our clients outperform
  • Empathy:  We proactively consider and account for the priorities and concerns of our colleagues and clients
  • Sustainability: We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time
  • Tenacious Teamwork: We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.

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Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an or email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.