Manager, Broker-Dealer & Regulatory Finance

The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory requirements for the firm’s broker-dealer and regulated international operations. This role ensures that all financial reporting, regulatory capital calculations, statutory filings, and compliance requirements are met accurately and timely across jurisdictions. The Manager will serve as the primary liaison with external auditors and regulatory compliance partners on all matters related to the firm’s regulated entities.

The Manager will be a part of the Corporate Accounting team and will have opportunities to expand their role. The team operates in a technology-forward environment that actively leverages AI and automation tools. Successful candidates will have a strong background in U.S. GAAP, regulatory reporting, and U.S. and international regulatory compliance within the asset management or financial services industry. Experience overseeing outsourced or third-party accounting providers is preferred. The Manager should possess excellent analytical skills and a solution-oriented mindset with the ability to operate independently.

• Lead the month-end and quarter-end close process across regulated entities, including broker-dealer and international operations, including review of journal entries, reconciliations, and financial statements prepared internally or by external service providers.
• Ensure timely and accurate regulatory capital calculations and required broker-dealer and international statutory filings.
• Maintain the integrity of the general ledger in compliance with U.S. GAAP and applicable regulatory requirements, and support reconciliation between U.S. GAAP and local statutory reporting frameworks as needed.
• Support revenue recognition and contract accounting matters for regulated entities, including intercompany fee arrangements and allocations.
• Develop, implement, and enhance accounting policies, procedures, and internal controls to address regulatory changes and operational risk.
• Manage the intercompany expense allocation and settlement process across global regulated entities.
• Partner cross-functionally with operations, treasury, tax, legal/compliance, and external service providers to drive timely deliverables.
• Lead and manage internal and external audits, including preparation of supporting documentation and responses to regulatory inquiries.
• Identify and implement process improvements, including opportunities to enhance reporting efficiency through technology and automation tools.

• Minimum of 5+ years of experience in accounting and regulatory compliance within the asset management or financial services industry. Experience with regulated entities preferred.
• Bachelor’s degree or higher – Accounting, Finance, or related field. CPA preferred.
• Strong knowledge of U.S. GAAP and familiarity with SEC, FINRA, and/or other international regulatory frameworks.
• SIE, Series 27, or willingness to obtain is a plus.
• Experience with financial systems (Sage Intacct and FloQast preferred) and comfort adopting AI, automation, and data analytics tools.
• Effective oral and written communication skills, able to work across international teams and stakeholders.
• Ability to prioritize, multi-task, and meet internal and external regulatory deadlines with a high degree of accuracy.
• Advanced proficiency in Excel and strong aptitude for learning new technology platforms.

The annualized base pay range for this role is expected to be between $135,000-180,000.  Actual base pay could vary based on factors including but not limited to experience, subject matter expertise and the applicant's skill set.  The base pay is just one component of the total compensation package for employees.  Other rewards may include an annual cash bonus and a comprehensive benefits package.    

Vista is a global technology investor that specializes in enterprise software. Vista’s private market strategies seek to deliver differentiated returns through a proprietary and systematic approach to value creation developed and refined over the course of 25 years and 650+ transactions. Today, Vista manages a diversified portfolio of software companies that provide mission-critical solutions to millions of customers around the world. As of June 30, 2025, Vista had more than $100 billion in assets under management. Further information is available at vistaequitypartners.com. Follow Vista on LinkedIn, @Vista Equity Partners, and on X, @Vista_Equity.