Regulatory Reporting Analyst - Broker-Dealer Focus

Liberty Personnel Services, Inc.; West Conshohocken (PA); Vor Ort; USD 90.000 - 120.000; Vollzeit

Zusammenfassung

Liberty Personnel Services, Inc. partners with a global financial services leader to recruit an Accounting & Regulatory Reporting Analyst for a registered broker-dealer.

The role offers broad exposure to accounting, financial reporting, regulatory compliance, and controls, collaborating with Finance, Compliance, Legal, senior leaders, external auditors, FINRA, and the SEC. You will own month-end close tasks, prepare FINRA-focused reports, assist SEC Rule 15c3-3 calculations, draft quarterly

Qualifikationen

• Bachelor's degree in Accounting/Finance; CPA strongly preferred.
• 3–6 years of accounting, audit, or financial reporting experience.
• Working knowledge of GAAP, reconciliations, and financial controls; strong Excel skills.
• Excellent communication skills and ability to build relationships with senior leaders.

Aufgaben

• Own key parts of the month-end close, including journal entries and accruals.
• Prepare Balance Sheet, Income Statement, and Net Capital calculations for monthly FOCUS reporting to FINRA.
• Prepare weekly SEC Rule 15c3-3 Customer Reserve calculation and oversee reserve activity.
• Prepare quarterly financial statements, footnotes, and executive summaries.
• Complete account reconciliations and resolve outstanding items.
• Support the annual external audit and FINRA and SEC examinations.

Kenntnisse

Communication skills

Relationship building

GAAP knowledge

Ausbildung

Bachelor's degree in Accounting/Finance

CPA preferred

Tools

Excel

Jobbeschreibung

Liberty Personnel Services, Inc. partners with a global financial services leader to recruit an Accounting & Regulatory Reporting Analyst for a registered broker-dealer.

The role offers broad exposure to accounting, financial reporting, regulatory compliance, and controls, collaborating with Finance, Compliance, Legal, senior leaders, external auditors, FINRA, and the SEC. You will own month-end close tasks, prepare FINRA-focused reports, assist SEC Rule 15c3-3 calculations, draft quarterly