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

Wedbush Securities; Pasadena (CA); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

Comprehensive benefits package

Health Savings Account with companys-p

Flexible Spending Accounts (FSA)

401(k) with company match

Tuition reimbursement

Paid Time Off

Paid Holidays

Volunteer time off

FINRA License Sponsorship

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 generate daily/monthly regulatory schedules and support audits, collaborating across departments to ensure accurate financial statements.

The role requires a bachelor’s in accounting/finance, 2+ years in financial services, and FINRA SIE & Series 99 or the ability to obtain within a year.

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 of procedures.
• Strong communication and interpersonal skills, with the ability to collaborate effectively across departments.
• Highly proficient in MS Excel and Word; adept at learning new software applications.

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 within the firm to reconcile differences and calculate components critical to the 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.
• Perform other duties and tasks as required and assigned.

Skills

Analytical skills

Attention to detail

MS Excel

MS Word

Communication

Team collaboration

Education

Bachelor’s degree in Accounting or Finance

Tools

MS Excel

MS Word

Job description

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 generate daily/monthly regulatory schedules and support audits, collaborating across departments to ensure accurate financial statements.

The role requires a bachelor’s in accounting/finance, 2+ years in financial services, and FINRA SIE & Series 99 or the ability to obtain within a year.