Mutual Group

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  • Administration & Accounting
  • Full-time
  • US
  • Remote friendly
  • 140K - 165K USD a year

2023-03-08 00:18:45 UTC


About: Mutual Group is a fast-growing, entrepreneurial financial services company serving registered investment advisors (RIAs) and advisors throughout the United States.  With over 40 years of experience, we have deep expertise in brokerage, compliance, technology, and operations, and we believe in the power of partnership.  Our mission is to transform the lives of our advisor community and power them towards success, enabling them to work smarter and focus on what they love and do best.  We are rooted in our company values – personal, authentic, collaborative, and knowledgeable – and these are aligned with our vision of being an aspirational B2B leader in our industry and powering a cultural shift towards truly authentic partnerships.

Description: The Controller will manage the day-to-day accounting operations including working with our Executive Leadership Team, Director of Client Compensation, and accounting staff.  This individual will plan and direct finance and accounting operational functions including managing the department staff, assessing risk and internal control systems, and consolidation of data for financial statements.  The role will be instrumental in contributing to oversight of the day-to-day accounting operations and reporting, organizing, and analyzing daily trade activity, and assisting in the preparation of various financial and regulatory reports.  The role will be a vital contributor to the Mutual team, assessing and managing processes across the finance and accounting departments, collaborating on strategic decisions, and facilitating the mentorship and development of team members.  This position reports to the Chief Administrative Officer, with a high level of visibility to members of senior management across the organization.

Essential responsibilities and tasks of the Controller Manager include:

  • Maintain a documented system of accounting policies and procedures; implement a system of controls over accounting activities, including periodic reviews of department policies and procedures.

  • Guide all operations of the accounting department, including accounts payable, bank reconciliations, monthly closing processes, and regulatory reporting requirements.

  • Work closely with leadership to facilitate strategic financial decisions and provide insightful analysis in support of meeting company goals.

  • Coordinate and manage the preparation of financial statements, financial reports, special analyses, and information reports on a monthly, quarterly, and annual basis both to internal and external stakeholders.

  • Perform detailed review of monthly account reconciliations and variance analysis MTD/YTD on an account level basis and legal entity level.

  • Review financial systems structure to ensure proper structure and maintenance is performed to meet accounting records, control environment and reporting needs.

  • Interpret and implement revenue recognition and other accounting policies as necessary.

  • Coordinate and execute audits annually with external auditors and regulatory groups.

  • Drive the firm’s annual budget and forecasting process.


Successful Controller candidates will have:

  • BA/BS in Accounting or Finance - CPA preferred.

  • 7 to 10 years of progressive accounting experience with financial services businesses; wealth management, investment management (broker dealer/RIA), and/or insurance experience desired.

  • Strong technical accounting knowledge and skills - recent experience with accrual-based accounting.

  • Experience in public accounting/Big 4 desired.

  • Highly proficient in Excel and other Microsoft Office suite products.

  • Communicate effectively, both orally and in writing, with all organizational levels.

  • Strong interpersonal and managerial skills with the ability to build cross-organizational relationships.

  • Ability to work well in a fast-paced, time-sensitive environment with the ability to balance multiple priorities.

  • Preferred: knowledge of FINRA regulations, including net capital and aggregate indebtedness calculations for broker-dealers. Securities licenses a plus (S27 or S28). 


Job Type: 

  • Full-Time 


Salary Range: 

  • $140,000 - $165,000 per year



  • We believe valuable experience can be gained from working on-site, but we will also consider hybrid and remote arrangements.


Benefits & Bonuses: 

  • This position is eligible for medical, dental, and vision insurance benefits, 401(k) Plan/Roth, and monetary bonuses.


Work Environment: 

  • We offer a flexible work environment, offering fully remote, in-office, or hybrid opportunities. Play a vital role for a fast-growing company with a dynamic culture as you embark on a career path in the advisory industry. 


To Apply: 

For immediate consideration of this vacancy, please visit our careers center and submit your resume and cover letter at


Given the large number of inquiries we receive, only candidates who have met the required experience & qualifications for this position will be contacted. No phone calls, please. However, since we are actively recruiting, we may wish to retain your cover letter and resume in our database for other/future opportunities unless you direct us otherwise. Thank you very much for your interest.


For more information about Mutual Group, please visit or follow the company on LinkedIn.


Mutual is a B2B company that provides consulting services, operations, technology, brokerage and compliance solutions for registered investment advisory (RIA) firms and individual advisors. Mutual Group currently serves more than 800 financial professionals with assets under management exceeding $8.5 billion and has been continuously striving to grow in knowledge, expertise, and client care since being founded in 1982. 


Investment advisory services offered through Mutual Advisors, LLC, a SEC registered investment adviser. Securities offered through Mutual Securities, Inc., member FINRA/SIPC. Mutual Advisors, LLC and Mutual Securities, Inc. (collectively "Mutual Group") are affiliated companies.