Assistant Vice President, Regulatory Accounting

Job DescriptionWedbush 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 growing Accounting team is seeking an Assistant Vice President, Regulatory Accounting, to oversee and ensure financial regulatory compliance across multiple broker‑dealer entities.Responsibilities include but are not limited to:Oversee and manage regulatory accounting activities for newly created broker-dealerManage the preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filingsReview and audit daily, weekly, monthly, quarterly, and annual Capital Reporting, Customer and PAB reserve computationAudit and analyze Balance Sheet and P&L for regulatory filingsManage relationships with regulators (FINRA and SEC) by analyzing, researching and responding to inquiriesCoordinate with Futures regulatory counterparts to ensure prompt and accurate responses to inquiries from Futures regulators (CFTC and CME)Research, evaluate, and enhance written regulatory accounting policies and procedures to ensure accuracy and complianceLead and manage initiatives to implement regulatory accounting best practices and process improvementsServe as a key liaison with internal and external financial and regulatory auditorsPartner cross‑functionally with departments across the firm to prepare regulatory filings and maintain ongoing regulatory complianceAudit departmental data and documentation to validate completeness, adequacy, and accuracyTrain, mentor, and provide ongoing guidance to regulatory accounting staffPerform other duties as required and assignedExperience and SkillsBachelor’s degree required, preferably for Business or Economics with a concentration in Accounting or FinanceMinimum of 5 years of regulatory accounting and reporting experience within a broker-dealer environmentExtensive FINRA experience, including deep knowledge of Rules 15c3-1 and 15c3-3FINRA Series 27 required, or willingness to obtain Proficiency with the Broadridge Processing System (BPS) for regulatory data processing preferredExceptionally detail-oriented with a strong focus on accuracy and complianceExcellent communication and presentation skills, with the ability to engage effectively across departments and organizational levelsStrong analytical skills with the ability to interpret complex regulatory and financial informationWhat We OfferAs part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your familyHealth Savings Account with company-sponsored contributionsFlexible Spending Accounts (FSA) traditional and dependent carePre-Tax Commuter Benefits401(k) plan with discretionary, competitive company matching and profit-sharing contributionsTuition reimbursement up to $5,250/year3 weeks of Paid Time Off2 weeks of Paid Sick Time (may vary by location)10 Paid HolidaysCharitable Donation Matching ContributionsPaid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)FINRA License SponsorshipTravel & Employee Assistance and Employee Discount ProgramsThe reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $126,000 to $166,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.Job Tracking ID: 512079-913965Job Location: Los Angeles, CAJob Level: ManagementLevel of Education: BA/BSJob Type: Full-Time/RegularDate Updated: 08/10/2026Years of Experience: AnyStarting Date: ASAP