Regulatory Reporting Accountant - 15c3-1/15c3-3

Wedbush

Pasadena (CA)

On-site

USD 60,000 - 80,000

Full time

3 days ago

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Benefits offered by this job

Medical Insurance

Retirement Plan

Paid Time Off

Tuition Reimbursement

Holiday/Vacation

Job summary

Wedbush Securities seeks a Regulatory Reporting Accountant in Pasadena, CA, to prepare 15c3-3 customer/PAB reserve computations, 15c3-1 net capital, and FOCUS reports. You will support daily/monthly regulatory and accounting processes, and assist audits.

A Bachelor's in Accounting/Finance, 2 years in financial services, and FINRA SIE/Series 99 (or within 1 year) are preferred. You will collaborate across departments, perform general broker-dealer accounting duties, and contribute to accurate

Qualifications

Bachelor’s degree in Accounting, Finance or related field.
Two years’ experience within the financial services industry preferred.
FINRA SIE & Series 99 or ability to obtain within 1 year.
Excellent analytical skills with meticulous attention to detail.
Ability to analyze processes and improve efficiency across departments.
Strong communication and interpersonal skills; proficient with MS Excel/Word.

Responsibilities

Prepare Customer/PAB Reserve Computations (15c3-3).
Prepare 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 to reconcile differences and calculate components for financial statements and regulatory reports.
Perform general accounting duties for the broker dealer including reconciliations, journal entries, allocations, etc.
Fulfill ad hoc requests as needed.