Senior Regulatory Reporting Accountant

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

Our clients Regulatory Reporting team is seeking an experienced Senior Regulatory Reporting Accountant to support the firm's broker-dealer regulatory reporting requirements. Reporting to the VP of Regulatory Reporting, this role will focus primarily on Customer/PAB Reserve Computations (15c3-3), with additional exposure to Net Capital (15c3-1) and FOCUS reporting.

Key Responsibilities

Our clients Regulatory Reporting team is seeking an experienced Senior Regulatory Reporting Accountant to support the firm's broker-dealer regulatory reporting requirements. Reporting to the VP of Regulatory Reporting, this role will focus primarily on Customer/PAB Reserve Computations (15c3-3), with additional exposure to Net Capital (15c3-1) and FOCUS reporting.

Key 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

Qualifications

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