Senior Accountant, Regulatory Reporting

Wedbush; Pasadena (CA); Presencial; USD 100 000 - 130 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Medical, dental, vision

HSA

FSA

401(k) match

Tuition reimbursement

Paid time off

Paid sick leave

Paid holidays

Donation matching

Paid leave

License sponsorship

Employee discounts

Resumo da oferta

Wedbush Securities is seeking a Senior Regulatory Reporting Accountant in Pasadena, CA. This role focuses on 15c3-3 reserve computations, with exposure to net capital and FOCUS reporting, supporting regulatory and accounting processes.

The ideal candidate has a bachelor’s degree in accounting/finance and at least five years in financial services, with FINRA Series 27 or ability to obtain within 120 days. Strong analytical skills and cross-department collaboration are essential.

Qualificações

• Bachelor’s degree in Accounting, Finance or related field.
• Minimum of five years’ experience within the financial services industry.
• FINRA Series 27 or ability to obtain within 120 days.
• Experience and expertise in broker dealer regulatory reporting, including 15c3-3.
• Excellent analytical skills with meticulous attention to detail.
• Strong communication and collaboration across departments.
• Proficient in MS Excel and Word; able to learn new software.

Responsabilidades

• Prepare and review Customer/PAB Reserve Computations (15c3-3).
• Prepare and review 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 departments to reconcile differences and components for financials and regulatory reports.
• Perform general accounting duties including reconciliations and journal entries.

Conhecimentos

Bachelor’s degree in Accounting, Finan

5+ years experience in financial serv

FINRA Series 27 or ability to obtain

Regulatory reporting (15c3-3, 15c3-1)

Analytical skills

Interdepartmental collaboration

MS Excel & Word

Formação académica

Bachelor’s degree in Accounting, Finance or related field

Ferramentas

MS Excel

Word

Descrição da oferta de emprego

Wedbush Securities is one of the largest securities firms andinvestment banks in the nation. We provide innovative financialsolutions through our Wealth Management, Capital Markets, Futures andAdvanced Clearing & Prime Services divisions. Headquartered in LosAngeles, California with over 100 offices and more than 80correspondent offices, our commitment to providing relentless,customized service is the foundation of our consistent growth.

Our Regulatory Reporting Department is seeking an experiencedprofessional to join our team as a Senior Regulatory ReportingAccountant. Reporting directly to the VP, Regulatory Reporting, thisrole will primarily focus on the preparation and review of thecustomer/PAB reserve computation (15c3-3), with exposure to netcapital (15c3-1) and FOCUS reporting.

Responsibilities include but are not limited to:

• Prepare and review Customer/PAB Reserve Computations (15c3-3)
• Prepare and review Net Capital (15c3-1) and FOCUS reports
• Prepare daily and monthly reports and schedules to supportregulatory and accounting processes
• Assist with internal and external audits and regulatory examinations
• Collaborate with various departments within the firm to reconciledifferences and calculate components critical to the financialstatements and regulatory reports
• Perform general accounting duties for the broker dealer includingreconciliations, journal entries, allocations, etc.
• Perform other duties as required and assigned

Experience and Skills

• Bachelor’s degree in Accounting, Finance or related field
• Minimum of five years’ experience within the financial services industry
• FINRA Series 27 or ability to obtain within 120 days
• Experience and expertise in broker dealer regulatory reporting,including performing and/or overseeing the 15c3-3 customer reserve requirement
• 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 tocollaborate effectively across departments
• Highly proficient in MS Excel and Word; adept at learning newsoftware applications

What We Offer

As part of our overall compensation package, Wedbush Securitiesoffers an array of diverse benefits to all our colleagues. We believethat providing competitive benefit options yields the advantageousreward of establishing a healthy and inclusive foundational work culture.

• Comprehensive medical, dental, and vision coverage with multiplehealth plan options for you and your family
• Health Savings Account with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• 401(k) plan with discretionary, competitive company matching andprofit-sharing contributions
• Tuition reimbursement up to $5,250/year
• 3 weeks of Paid Time Off
• 2 weeks of Paid Sick Time (may vary by location)
• 10 Paid Holidays
• Charitable Donation Matching Contributions
• Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer TimeOff, Disability, etc.)
• FINRA License Sponsorship
• Travel & Employee Assistance and Employee Discount Programs

The reasonable estimate of the compensation range for this role hasnot been adjusted for the applicable geographic location. A reasonableestimate of the current range is $100,000 to $130,000. Colleagues maybe eligible for additional, discretionary incentive compensation basedon the colleague's and the firm's performance. Decisions regardingcompensation are determined on a case-by-case basis and are dependenton a variety of factors including but not limited to skill sets;experience and training; licensure and certifications; and otherbusiness and organizational needs.

Wedbush Securities (WS) is proud to be an Equal EmploymentOpportunity employer. WS does not discriminate based on race,religion, color, creed, sex, sexual orientation, gender, genderidentity or expression, national origin, ancestry, citizenship status,registered domestic partner status, uniform service member status,marital status, pregnancy, age, medical condition, disability, geneticinformation, family care or medical leave status, or any otherconsideration made unlawful by applicable federal, state, or locallaws, or on the basis that an applicant or Colleague is perceived tohave these characteristics or is associated with someone who isperceived to have these characteristics. WS aims to foster a cultureof inclusion where all Colleagues are valued for their uniquecontributions to the firm as well as provided equal opportunities to succeed.

Wedbush uses E-Verify, an Internet-based system, to confirm theeligibility of all newly hired employees to work in the United States.Learn more about E-Verify, including your rights and responsibilitieshere https://www.e-verify.gov/employees/e-verify-overview

This position is subject to various laws or regulations that imposerestrictions or prohibitions for employment with Wedbush due tocriminal history. Those laws or regulations include but are notlimited to, the following: Securities Exchange Act of 1934 (SEA) Rule17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.