Senior Regulatory Reporting Accountant: 15c3-3 & Net Capital

Wedbush Securities; Pasadena (CA); On-site; USD 100,000 - 130,000; Full time

Benefits offered by this job

Medical/Dental/Vision

401(k) with company matching

Tuition reimbursement

Paid Time Off

Paid Holidays

FINRA License Sponsorship

Job summary

Wedbush Securities seeks a Senior Regulatory Reporting Accountant to join our Regulatory Reporting Department in Pasadena, CA. You will focus on the 15c3-3 customer/PAB reserve computations with exposure to net capital and FOCUS reporting, collaborating with teams to ensure accurate regulatory disclosures.

The role requires a Bachelor’s degree in Accounting or related field, at least five years in financial services, and FINRA Series 27 or ability to obtain within 120 days.

Qualifications

• Bachelor’s degree in Accounting, Finance or related field.
• Minimum 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 and attention to detail.
• Strong communication and ability to collaborate across departments.

Responsibilities

• Prepare and review Customer/PAB Reserve Computations (15c3-3).
• Prepare and review Net Capital (15c3-1) and FOCUS reports.
• Prepare daily and monthly regulatory and accounting reports.
• Assist with internal and external audits and regulatory examinations.
• Collaborate with departments to reconcile differences for financial statements and reports.
• Perform broker-dealer accounting duties including reconciliations and journal entries.

Skills

Analytical skills

Attention to detail

Regulatory reporting knowledge

Cross-department collaboration

Communication skills

Process improvement

Education

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

Tools

MS Excel

MS Word

Job description

Wedbush Securities seeks a Senior Regulatory Reporting Accountant to join our Regulatory Reporting Department in Pasadena, CA. You will focus on the 15c3-3 customer/PAB reserve computations with exposure to net capital and FOCUS reporting, collaborating with teams to ensure accurate regulatory disclosures.

The role requires a Bachelor’s degree in Accounting or related field, at least five years in financial services, and FINRA Series 27 or ability to obtain within 120 days.