Broker-Dealer Accounting & Compliance Lead

Green Key Resources; New York (NY); On-site; USD 110,000 - 160,000; Full time

Job summary

Green Key Resources is seeking an experienced Accounting Manager to support broker-dealer clients. The role serves as the primary financial and regulatory resource, overseeing accounting operations and ensuring compliance with SEC and FINRA requirements.

You will lead client engagements and manage accounting staff, review ledgers, prepare financial statements and FOCUS reports, and stay abreast of regulatory changes to drive process improvements.

Qualifications

• Bachelor's or Master's degree in Accounting.
• Series 27 license preferred.
• Candidates without a Series 27 license must be willing and able to obtain the license and register with FINRA within one year of employment.
• Previous experience managing client relationships and leading accounting professionals.
• Proficiency with QuickBooks and Microsoft Excel.
• Strong analytical, organizational, and problem-solving skills with attention to detail.

Responsibilities

• Serve as the designated accounting contact for broker-dealer clients, ensuring compliance with SEC and FINRA financial reporting requirements.
• Manage a portfolio of broker-dealer client relationships, serving as a trusted advisor and primary point of contact.
• Supervise, mentor, and develop accounting staff while overseeing the quality, accuracy, and timeliness of client deliverables.
• Maintain and review clients' general ledgers, including bank reconciliations, payroll processing, fixed asset depreciation, prepaid expenses, accruals, and other month-end accounting activities.
• Prepare accurate monthly, quarterly, and annual financial statements, including required footnote disclosures.
• Prepare and file monthly and quarterly FOCUS Reports in accordance with regulatory deadlines.
• Calculate monthly net capital requirements, including non-allowable assets, aggregate indebtedness, minimum net capital requirements, excess net capital, and applicable haircut calculations.
• Coordinate and support clients through annual independent audits, FINRA examinations, SEC examinations, and other regulatory reviews.
• Monitor changes in regulatory requirements and accounting standards to ensure ongoing compliance.
• Recommend and implement process improvements that enhance accounting operations, reporting efficiency, and internal controls.

Skills

Client relationships

Regulatory reporting

Accounting leadership

Financial analysis

Attention to detail

Education

Bachelor's or Master's in Accounting

Tools

QuickBooks

Microsoft Excel

Job description

Green Key Resources is seeking an experienced Accounting Manager to support broker-dealer clients. The role serves as the primary financial and regulatory resource, overseeing accounting operations and ensuring compliance with SEC and FINRA requirements.

You will lead client engagements and manage accounting staff, review ledgers, prepare financial statements and FOCUS reports, and stay abreast of regulatory changes to drive process improvements.