Assistant Vice President, Regulatory Accounting

Wedbush; Pasadena (CA); On-site; USD 126,000 - 166,000; Full time

Benefits offered by this job

Medical/Dental/Vision

HSA contributions

FSA

401(k) with company match

Tuition reimbursement

Paid Time Off (3 weeks)

Paid Sick Time (2 weeks)

10 paid holidays

Charitable donation matching

Paid leave

FINRA License sponsorship

Travel & Employee Assistance

Employee discounts

Job summary

Wedbush Securities is seeking an Assistant Vice President, Regulatory Accounting, to oversee regulatory accounting across broker‑dealer entities. You’ll manage 15c3-3 and 15c3-1 computations, filings, and reviews, while guiding teams and maintaining strong regulator relationships.

The role requires a Bachelor’s in Business or Economics with Accounting/Finance, at least 5 years of broker‑dealer regulatory accounting experience, FINRA Rule knowledge, and Series 27 (or willingness to obtain).

Qualifications

• Bachelor’s degree is required, preferably in Business or Economics with a concentration in Accounting or Finance.
• Minimum of 5 years of regulatory accounting and reporting experience within a broker-dealer environment.
• Extensive FINRA experience, including deep knowledge of Rules 15c3-1 and 15c3-3.
• FINRA Series 27 required, or willingness to obtain.
• Proficiency with the Broadridge Processing System (BPS) for regulatory data processing preferred.
• Exceptionally detail-oriented with a strong focus on accuracy and compliance.
• Excellent communication and presentation skills, with the ability to engage across departments and levels.
• Strong analytical skills with the ability to interpret complex regulatory and financial information.

Responsibilities

• Oversee and manage regulatory accounting activities for newly created broker-dealer.
• Prepare Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings.
• Review and audit Capital Reporting, Customer and PAB reserve computation.
• Audit and analyze Balance Sheet and P&L for regulatory filings.
• Manage relationships with regulators (FINRA and SEC).
• Coordinate with Futures regulatory counterparts to respond to inquiries (CFTC and CME).
• Research, evaluate, and enhance regulatory accounting policies and procedures.
• Lead initiatives to implement regulatory accounting best practices and process improvements.
• Serve as a liaison with internal and external auditors.
• Partner cross-functionally to prepare regulatory filings and maintain compliance.
• Audit departmental data and documentation for completeness and accuracy.
• Train, mentor, and guide regulatory accounting staff.

Skills

Regulatory accounting

FINRA experience

Series 27

Attention to detail

Communication skills

Analytical skills

Education

Bachelor's degree in Business or Economics with Accounting/Finance

Tools

Broadridge Processing System (BPS)

Job description

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 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-dealer
• Manage the preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings
• Review and audit daily, weekly, monthly, quarterly, and annual Capital Reporting, Customer and PAB reserve computation
• Audit and analyze Balance Sheet and P&L for regulatory filings
• Manage relationships with regulators (FINRA and SEC) by analyzing, researching and responding to inquiries
• Coordinate 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 compliance
• Lead and manage initiatives to implement regulatory accounting best practices and process improvements
• Serve as a key liaison with internal and external financial and regulatory auditors
• Partner cross‑functionally with departments across the firm to prepare regulatory filings and maintain ongoing regulatory compliance
• Audit departmental data and documentation to validate completeness, adequacy, and accuracy
• Train, mentor, and provide ongoing guidance to regulatory accounting staff
• Perform other duties as required and assigned

Experience and Skills

• Bachelor’s degree required, preferably for Business or Economics with a concentration in Accounting or Finance
• Minimum of 5 years of regulatory accounting and reporting experience within a broker-dealer environment
• Extensive FINRA experience, including deep knowledge of Rules 15c3-1 and 15c3-3
• FINRA Series 27 required, or willingness to obtain
• Proficiency with the Broadridge Processing System (BPS) for regulatory data processing preferred
• Exceptionally detail-oriented with a strong focus on accuracy and compliance
• Excellent communication and presentation skills, with the ability to engage effectively across departments and organizational levels
• Strong analytical skills with the ability to interpret complex regulatory and financial information

What We Offer

As 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 family
• Health Savings Account with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
• Tuition reimbursement up to $5,250/year
• 3 weeks of Paid Time Off
• 2 weeks of Paid Sick Time (may vary by location)
• 10 Paid Holidays
• Charitable Donation Matching Contributions
• Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
• FINRA License Sponsorship
• Travel & Employee Assistance and Employee Discount Programs

The 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 https://www.e-verify.gov/employees/e-verify-overview.

This 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.