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

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

Benefits offered by this job

Medical coverage

Dental coverage

Vision coverage

Health Savings Account

Pre-Tax Commuter Benefits

401(k) plan with company match

Tuition reimbursement

Paid Time Off

Paid Sick Time

Paid Holidays

Charitable Donation Matching

Paid Leave

FINRA License Sponsorship

Travel & Employee Assistance Programs

Job summary

Wedbush Securities is seeking a Senior Regulatory Reporting Accountant to join our Regulatory Reporting Department. The role centers on preparing and reviewing the customer/PAB reserve (15c3-3) with exposure to 15c3-1 and FOCUS reporting.

You will handle daily/monthly regulatory schedules, support audits, and work with multiple departments to ensure accurate financial statements. Requirements include a BA/BS in Accounting or Finance, 5+ years in financial services, FINRA Series 27 (or ability to

Qualifications

• 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.
• Ability to analyze processes and improve efficiency of procedures.
• Strong communication and interpersonal skills, with the ability to collaborate effectively across departments.
• Highly proficient in MS Excel and Word; adept at learning new software applications.

Responsibilities

• 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 various departments within the firm to reconcile differences and calculate components critical to the financial statements and regulatory reports.
• Perform general accounting duties for the broker dealer including reconciliations, journal entries, allocations, etc.
• Perform other duties as required and assigned.

Skills

Analytical skills

Attention to detail

Communication skills

Interpersonal skills

Process improvement

Microsoft Excel

Collaboration across departments

Education

Bachelor's degree in Accounting, Finance or related field

Tools

MS Excel

MS Word

Job description

Wedbush Securities is seeking a Senior Regulatory Reporting Accountant to join our Regulatory Reporting Department. The role centers on preparing and reviewing the customer/PAB reserve (15c3-3) with exposure to 15c3-1 and FOCUS reporting.

You will handle daily/monthly regulatory schedules, support audits, and work with multiple departments to ensure accurate financial statements. Requirements include a BA/BS in Accounting or Finance, 5+ years in financial services, FINRA Series 27 (or ability to