Equity Trust Company

JOB OVERVIEW

The Controller oversees and manages the preparation of the general ledger and maintenance of all transaction processing for Innovayte and its affiliates (known as the “Company”). Ensures the Company’s accounting procedures conform to generally accepted accounting principles (GAAP). The Controller is also responsible for ensuring compliance with PCAOB standards and managing audit processes, including both internal and external audits, to maintain the integrity and accuracy of financial reporting. Additionally, the Controller oversees accounting procedures for the closing of the broker-dealer monthly financials and assists with the filing of the Focus Report.

RESPONSIBILITIES & DUTIES

Monthly, quarterly and year-end financial reporting

• Supervises financial closing and reporting processes of Innovayte LLC and its affiliates
• Reviews and journal entries required to reflect the Company’s monthly activity
• Prepares and reviews supporting schedules for the monthly close process and month end balances
• Prepares monthly and quarterly financial statements, detailed revenue and expense reports and budgets
• Manages and reconciles intercompany expenses and allocations to ensure accurate financial reporting across entities
• Develops the requisite accounting information to support the monthly Focus Report and other regulatory filings by the ETCB FinOp, ensuring compliance with broker-dealer regulations
• Produces quarterly consolidated financial statements to support SEC Rule 17h reporting
• Prepares the year-end ETCB Audited Financial Statements with input from the ETCB FinOp
• Prepares reporting and supporting documentation to meet the standards of PCAOB Standards (public company reporting) which are required of all SEC registered broker-dealers
• Provides audit support and ensures readiness for both internal and external audits
• Coordinates the annual audit (first year only)

Budgeting, Forecasting, Cash Management, and Tax

• Supporting the CFO / treasurer, develops the Company’s cash flow requirements, assists with business funding decisions, and oversees corporate expense funding activities
• Assists with the preparation of the annual budget and rolling forecasts
• Provides the requisite information to the family office for the preparation of annual tax return
• Collaborates with the CFO on developing financial models and analyses to support strategic initiatives
• Prepares ad hoc financial reports and analysis as requested by senior management
• Assists with preparation and distribution of monthly financial package
• Prepares ad hoc financial reports and analysis as requested by senior management

Billing

• Supervises the quarterly and annual billings to clients for services provided as well as the collection of accounts receivable

Accounting Internal Controls and General Ledger System

• Implements, documents, and maintains adequate and effective Accounting internal controls in accordance with Sarbanes-Oxley requirements
• Advises and assists in implementing efficiencies either through process change or a technology solution
• Oversees the administration and maintenance of the Financial Ledger System, ensuring data integrity and accuracy
• Performs Cash Management functions: approving wires, transfers, and ACH returns while utilizing online banking websites (moved to Treasury and please strike)
• Provides financial data as needed for regulatory filings
• Research tax-related issues
• Maintains professional and technical knowledge by attending educational workshops and reviewing professional publications
• M&A integration support as needed
• Travel to various locations, both within our organization and externally, may be required depending on your role and responsibilities.
• Performs other duties as assigned.

QUALIFICATIONS

• Bachelor’s degree in finance or accounting
• Minimum ten (10) years of experience in a senior-level finance or accounting position
• Minimum five (5) years of experience managing an accounting department
• Experience in the financial services industry, particularly with broker-dealer operations.
• Experience with Focus Report preparation and closing.
• Experience in preparing financial statements and related documentation to meet public company reporting standards
• Audit experience a plus, including managing and supporting internal and external audits

PROFESSIONAL CERTIFICATIONS

• Certified Public Accountant (CPA).
• Series 99 or 27 FINRA license required
• If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries Essentials exam provided by FINRA. In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with FINRA and the SEC requirements. These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days.

TECHNICAL SKILLS

To be successful in this role, you should have experience with and an understanding of the following:

• Mastery of accounting software
• Expert level proficiency in Microsoft Office
• Strong knowledge of GAAP and technical reporting under PCAOB Standards

CULTURAL COMPETENCIES

Innovayte is dedicated to building an environment where each team member can thrive, contribute meaningfully, and grow professionally and personally. We believe that our core values—rooted in

• respect,
• empowerment,
• Service
• innovation,
• integrity,
• trust, and
• accountability

are essential to achieving our mission. These values guide us in everything we do, from daily interactions to strategic decisions. We’re looking for individuals who not only share these principles but are excited to bring them to life in meaningful ways.

In addition to our core company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient, a successful candidate in this role should exhibit the following behavioral competencies:

• Develops direct reports
• Dealing with ambiguity
• Business acumen
• Decision quality
• Managerial courage
• Drive for results

PHYSICAL DEMANDS/WORK ENVIRONMENT

This job operates in a professional office environment and routinely uses standard office equipment. While performing the duties of this job, the associate is regularly required to speak and hear. The associate is frequently required to sit for extended periods of time, as well as stand, walk, use hands and fingers, and reach with hands and arms. This job requires the ability to lift files, open filing cabinets, and bend or stand on a stool as necessary.

DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT

The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.