Senior Accountant, Regulatory Reporting
Full-time
Wedbush Securities
Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.
Our Regulatory Reporting Department is seeking an experienced professional to join our team as a Senior Regulatory Reporting Accountant. Reporting directly to the VP, Regulatory Reporting, this role will primarily focus on the preparation and review of the customer/PAB reserve computation (15c3-3), with exposure to net capital (15c3-1) and FOCUS reporting.
Responsibilities include but are not limited to:
- Prepare and review Customer/PAB Reserve Computations (15c3-3)
- Prepare and review Net Capital (15c3-1) and FOCUS reports
- Prepare daily and monthly reports and schedules to support regulatory and accounting processes
- Assist with internal and external audits and regulatory examinations
- Collaborate with various departments within the firm to reconcile differences and calculate components 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 as required and assigned
Required Experience:
- Bachelor's degree in Accounting, Finance or related field
- Minimum of five years' experience within the financial services industry
- FINRA Series 27 or ability to obtain within 120 days
- Experience and expertise in broker dealer regulatory reporting, including performing and/or overseeing the 15c3-3 customer reserve requirement
- Excellent analytical skills with meticulous attention to detail
- Ability to analyze processes and improve efficiency of procedures
- Strong communication and interpersonal skills, with the ability to collaborate effectively across departments
- Highly proficient in MS Excel and Word; adept at learning new software applications
Vacancy posted 8 days ago
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