Broker Dealer Accountant

3 weeks ago

Chicago, United States BCI - Brokerage Consultants Inc Full time

The Broker Dealer Accountant will uphold the responsibility of maintaining precise financial records and reporting within the broker-dealer. This role will work closely with multiple departments to guarantee proper accounting treatment of transactions and compliance with regulatory standards. The selected candidate will hold a pivotal role in safeguarding the financial integrity of the firm's operations.

Responsibilities :Closely work with trading, operations, and compliance departments to ensure precise accounting treatment of transactions and adherence to regulatory standardsPrepare and assess financial statements, including balance sheets, income statements, and cash flow statements, adhering to GAAP and industry regulationsRecord, reconcile, and evaluate securities transactions to ensure accurate classification and valuationMonitor and uphold compliance with BD regulations set by the SEC, FINRA, and other relevant regulatory bodiesConduct daily, monthly, and annual reconciliations of brokerage accounts, bank accounts, and other financial records to detect and resolve discrepanciesAid in coordinating internal and external audits by providing necessary documentation and explanations to auditorsCollaborate with other departments to find ways to improve operations, profitability, and data integrityEstablish and maintain internal controls and procedures to safeguard assets, prevent fraud, and mitigate financial riskUtilize software applications, systems, and databases to accurately record, track, and analyze information

Requirements :Bachelor's Degree in Accounting, Finance, or related field3-5+ years specific to self-clearing broker-dealer experienceFINRA Series 27 requiredCPA preferredKnowledge of accounting principles, regulations, and industry-specific rules for broker-dealersSelf-clearing broker-dealer experience, 15c3-1, Stock records and allocations, 15c3-3, 17-H reporting, Quarterly securities counts, etc. experience a plusStrong analytical skills and attention to detailProficiency in financial software and Microsoft Excel required; FIS/Phase 3 and SQL preferredExcellent communication and teamwork skills to collaborate effectively with various departments

Target base salary range for this role is between $80-120k, depending on candidate experience, skillset, etc. #J-18808-Ljbffr

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