Broker Dealer Accountant
$85k - $120kSocial Capital Resources
1 week ago Be among the first 25 applicants Social Capital Resources provided pay range This range is provided by Social Capital Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $85,000.00/yr - $120,000.00/yr Job Summary: Responsible for maintaining financial records, ensuring compliance with SEC and FINRA regulations, and preparing financial reports for a broker-dealer firm. Duties include general ledger accounting, regulatory filings (e.g., FOCUS reports), reconciliation of accounts, and supporting audits and examinations. Key Responsibilities: Prepare and file monthly and quarterly FOCUS reports Maintain general ledger and perform month-end close Reconcile cash, trading, and clearing accounts Ensure compliance with FINRA, SEC, and other regulatory requirements *Must Have Broker Dealer exposure, Series 27 or Series 99 is preferred* Seniority level Seniority level Associate Employment type Employment type Full-time Job function Job function Accounting/Auditing Industries Accounting and Financial Services Referrals increase your chances of interviewing at Social Capital Resources by 2x Inferred from the description for this job Medical insurance Vision insurance 401(k) Get notified about new Accountant jobs in New York City Metropolitan Area . New York, NY $86,000.00-$120,000.00 3 weeks ago New York, NY $80,000.00-$95,000.00 4 days ago Financial Accountant - 120K-140K + bonus New York, NY $120,000.00-$140,000.00 2 weeks ago New York, NY $80,000.00-$85,000.00 1 week ago New York, NY $95,000.00-$100,000.00 1 week ago Staff Accountant II, Consolidations and Reporting Whippany, NJ $77,000.00-$95,000.00 2 weeks ago New York, NY $100,000.00-$115,000.00 1 week ago New York, NY $51,000.00-$69,000.00 1 week ago New York City Metropolitan Area $75,000.00-$95,000.00 3 days ago New York City Metropolitan Area $130,000.00-$135,000.00 2 weeks ago New York, NY $70,000.00-$95,000.00 1 hour ago New York City Metropolitan Area $80,000.00-$90,000.00 3 weeks ago New York, NY $67,600.00-$70,000.00 1 month ago New York, NY $80,000.00-$90,000.00 3 weeks ago New York City Metropolitan Area $90,000.00-$110,000.00 1 week ago New York, NY $60,000.00-$70,000.00 10 hours ago New York, NY $120,000.00-$140,000.00 1 week ago New York, NY $80,000.00-$90,000.00 2 weeks ago New York, NY $72,250.00-$97,750.00 36 minutes ago New York, NY $148,500.00-$239,200.00 2 weeks ago New York City Metropolitan Area $60,000.00-$70,000.00 3 days ago New York City Metropolitan Area 3 weeks ago New York, NY $85,000.00-$100,000.00 2 weeks ago New York City Metropolitan Area 4 weeks ago New York, NY $90,000.00-$95,000.00 3 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Social Capital Resources
- We are seeking a highly motivated and analytical staff accountant within the Finance department of U.S. broker-dealer. This role is vital for enhancing our broker-dealer accounting processes including monthly and quarterly closing, account reconciliation and certification...SuggestedPermanent employment
$85k - $125k
...financial records, ensuring compliance with SEC and FINRA regulations, and preparing financial reports for a broker-dealer firm. Duties include general ledger accounting, regulatory filings (e.g., FOCUS reports), reconciliation of accounts, and supporting audits and...SuggestedFull time$140k - $160k
Ripple is looking for a Senior Accountant to join our team in New York. In this role, you will handle broker-dealer accounting, maintain the general ledger, and prepare financial statements while working in a dynamic, collaborative environment. This position offers an...Suggested- ...rale de Surveillance SA is looking for a highly motivated staff accountant to join their finance department in New York. This pivotal... ...financial reviews, and ensuring compliance with regulations for broker-dealers. The ideal candidate will hold a Bachelor's degree in...Suggested
- Webull is seeking a seasoned accountant with broker-dealer experience to lead the monthly close for multiple entities and ensure GAAP-compliant financial reporting. The role focuses on ownership of the close process, internal controls, and collaboration with auditors. Ideal...SuggestedWork at office
- BBVA, a global financial services company, is seeking a Broker-Dealer Accounting Senior Analyst in New York. The role involves maintaining accounting policies for the broker-dealer, reconciliations, and assisting with month-end close and quarterly board materials. You...
- BBVA in New York seeks a highly motivated accounting professional for a broker-dealer subsidiary. You will manage accounting policies, reconciliations, month-end close, and financial reporting to Senior Management and the Board. The role requires 3+ years in financial institutions...
$100k - $110k
...Seeking a highly motivated, detail oriented individual to work at a growing U.S. broker-dealer subsidiary of a global financial services group based out of Spain. Job Description Accounting Responsibilities: Create and maintain accounting policies for B/D Maintain...Extra incomeFor contractorsWork at officeLocal area$70.6k - $139.8k
...re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical. As an Audit Senior Associate , you will... ...improvements. Qualifications: 2+ years of recent and relevant public accounting external audit experience. A background with experience in...Local areaWorldwideHome office$70.6k - $139.8k
...leading client engagements, supervising staff, and maintaining client relationships in the Broker Dealer industry. Candidates should have over 2 years of experience in public accounting and a Bachelor's degree meeting CPA certification requirements. Benefits include a...Work at office$91.4k - $186.9k
...and risks; ensure compliance with regulatory requirements and accounting standards. Manage the audit process, including budgeting,... ...relevant public accounting external audit experience working with Broker Dealer clients. Must have CPA certification aligned to the assigned...Local areaWorldwideHome office- ...job poster from Mondrian Alpha Our client is a leading global broker-dealer, recognized for its ability to navigate complex markets,... ...Employment type Employment type Full-time Job function Job function Accounting/Auditing and Finance Industries Investment Management,...Full timeWorldwide
- Crowe is seeking an experienced audit leader to oversee a team of auditors for broker-dealer clients and drive high-quality, compliant engagement delivery. You will manage engagements end-to-end, mentor staff, and maintain strong client relationships across multiple sites...
$220k - $250k
...the company's mission is to empower people to make the most of their money so they can live better. As Product Leader for our Broker-Dealer division (Custody, Trading, and Market Data), you'll own the foundational asset management systems behind $70+ billion in assets...Temporary workSummer holidayWork at officeFlexible hoursUnited States Digital Space LLC
New York, NY3 hours ago- BNY Mellon in New York, NY, seeks a Senior Vice President, Segment Marketing to lead the Banks & Broker Dealers marketing strategy on a global scale. You will shape segment positioning, develop go-to-market plans, and partner with senior stakeholders across regions to...
$120.8k - $137.9k
...Overview Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the Role We are seeking a highly analytical and investigative Trade Surveillance Principal Associate to play a key role in executing and enhancing Capital One’s Commercial Banking...Full timePart timeLocal areaCapital One
New York, NYmore than 2 months ago- Gusto is hiring a Compliance Manager for their team in New York. This pivotal role involves supervising compliance programs and ensuring operational efficiency within the Gusto Retirement Compliance Team. Successful candidates will need a minimum of 5 years compliance experience...
$90k - $125k
...specifically dedicated to supporting the Chief AML Officer covering the Broker-Dealer (BD) Securities Division. In this role, the AML Advisory Team... ...(TM). Reviewing EDD escalations and evaluating complex account structures, issues, and transactions. Ensuring timely...$159.4k - $181.9k
A financial services company is seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while...- StoneX Group is seeking an AML Advisory Team Lead in New York to oversee the AML Program across BD Securities and Wealth Management. You will guide CIP/KYC/CDD processes, perform EDD reviews, and liaise with front office and regulators on complex cases. Candidates should...
- Webull is seeking a results-driven accountant with broker-dealer experience to join our Finance team in New York. You will own the monthly close, ensure GAAP compliance, and drive internal controls across multiple affiliated entities. The role offers visibility and potential...
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first... ...Employment type Full-time Job function Job function Finance, Accounting/Auditing, and Quality Assurance Industries Financial Services...Full timeWork at officeRemote work- Betterment is seeking a Product Leader for its Broker-Dealer division to own foundational asset management systems handling $70B+ in assets for 1M+ clients. You will lead PMs across custody, trading, and market data, aligning on a single shared roadmap in a highly regulated...
- Taurus Search seeks a seasoned VP, Broker Dealer Regulatory Reporting in New York to lead complex 15c3-3 customer reserve calculations and daily reporting processes. The ideal candidate has at least 5 years of experience preparing the 15c3-3 formula, familiarity with daily...
$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and Listed Options...Immediate start$97.9k - $146.8k
Mutual of America Financial Group Lead Compliance, Broker / Dealer Location Boca Raton, FL (hybrid) or New York, NY (hybrid) Who We Are At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is...Work at office- ...Inc. and engaging with regulators like FINRA and the SEC. The ideal candidate should have over 12 years of relevant experience in broker-dealer regulatory compliance, strong knowledge of regulatory standards, and an ability to operate independently. This role includes...
- Global Markets client, is seeking a VP, Broker Dealer Regulatory Reporting to join their growing team. The VP, Broker Dealer Regulatory reporting will need to have a background in calculating the broker dealer regulatory reports. The firm has just went from a weekly 15c...
- ...role, you’ll make an impact in the following ways: Reporting to the Head of Pershing Treasury, lead ALM matters relating to the broker‑dealer balance sheet monitoring and explaining changes and related management reporting Drive initiatives to support the funding,...Flexible hours
$200k - $240k
...investments to help expand the enterprise presence within the U.S. wealth management ecosystem, particularly across Independent Broker Dealers (IBD). This role will understand the nuances of private market investing and can translate that expertise into strategic...Full timeWork at officeRemote work
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