Senior Broker-Dealer Regulatory Reporting Specialist

Phaxis; Pasadena (CA); On-site; USD 90,000 - 135,000; Full time

Job summary

Phaxis seeks a Senior Regulatory Reporting Accountant to join our Regulatory Reporting team in Pasadena, CA. You will support broker-dealer regulatory reporting requirements, focusing on Customer/PAB Reserve Computations (15c3-3) with exposure to Net Capital (15c3-1) and FOCUS reporting.

Ideal candidates have a Bachelor's degree in Accounting or Finance, 5+ years in financial services (broker-dealer preferred), and a Series 27 or the ability to obtain within 120 days.

Qualifications

• Bachelor's degree in Accounting, Finance, or related field.
• 5+ years of financial services experience, broker-dealer preferred.
• Series 27 required or ability to obtain within 120 days.

Responsibilities

• Prepare and review Customer and PAB Reserve Computations (15c3-3).
• Prepare and review Net Capital (15c3-1) and FOCUS reports.
• Prepare daily and monthly regulatory and accounting schedules.
• Perform reconciliations and investigate discrepancies across accounting and regulatory reporting.
• Support internal and external audits, as well as regulatory examinations.
• Partner with internal teams to calculate and reconcile components impacting financial statements and regulatory filings.
• Perform general broker-dealer accounting functions, including journal entries, reconciliations, and allocations.
• Support additional regulatory reporting and accounting initiatives as needed.

Skills

Broker-dealer experience

Regulatory reporting

Accounting

Education

Bachelor's degree in Accounting, Finance, or related field

Job description

Phaxis seeks a Senior Regulatory Reporting Accountant to join our Regulatory Reporting team in Pasadena, CA. You will support broker-dealer regulatory reporting requirements, focusing on Customer/PAB Reserve Computations (15c3-3) with exposure to Net Capital (15c3-1) and FOCUS reporting.

Ideal candidates have a Bachelor's degree in Accounting or Finance, 5+ years in financial services (broker-dealer preferred), and a Series 27 or the ability to obtain within 120 days.