Responsibilities include, but are not limited to:
- Accurately compile regulatory filings (FOCUS reports, including Customer Reserve and Net Capital computations, etc.)
- Prepare daily and monthly reports and schedules to support regulatory and accounting processes
- Effectively work with internal and external financial and regulatory auditors
- Interact and work with various departments within the firm to reconcile differences and calculate pieces critical to the financial statements and regulatory reports
- Perform general accounting duties for the broker dealer including reconciliations, journal entries, allocations, etc.
- Perform other duties and tasks as required and assigned
Our Regulatory Accounting Department is seeking an experienced professional who is committed to obtaining a deep knowledge of the regulatory accounting rules. This is a very important role in our accounting and finance department that will report directly to the Regulatory Accounting Manager.
Requirements:
Experience and Skills
- Bachelor’s Degree from an accredited university, preferably in Business/Econ with emphasis in accounting/finance
- 2+ years of corporate or public accounting (preferably Big 4) experience required
- Regulatory reporting experience from broker dealer preferred
- Financial or securities industry experience preferred
- Highly meticulous, detail-oriented, and accurate
- Ability to analyze processes and improve efficiency of procedures
- Strong analytical and accounting skills and knowledge
- Highly proficient in MS Excel and Word; agile at learning new software applications