Broker Dealer Accountant

Social Capital Resources; New York (NY); On-site; USD 85,000 - 125,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Job summary

A leading financial services firm is looking for an Associate Accountant to manage financial records and ensure compliance with SEC and FINRA regulations. This role involves preparing financial reports, maintaining general ledger accounting, and supporting audits while providing opportunities for growth in a dynamic environment.

Qualifications

• Experience in a broker-dealer environment is essential.
• Preferred certification: Series 27.
• Proficiency in financial reporting and compliance tasks.

Responsibilities

• Prepare and file monthly and quarterly FOCUS reports.
• Maintain general ledger and perform month-end close.
• Reconcile cash, trading, and clearing accounts.

Skills

Financial compliance

General ledger accounting

Regulatory filings

Reconciliation of accounts

Education

Bachelor's degree in Accounting or Finance

Job description

20 hours 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 - $125,000.00/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 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)

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