Senior Regulatory Accountant

2 weeks ago

Pasadena, California, United States Wedbush Securities Full time
Job Overview
Wedbush Securities stands as a prominent player in the financial services sector, offering a range of innovative solutions through its various divisions, including Wealth Management and Capital Markets. Our headquarters in Los Angeles, California, supports a vast network of offices dedicated to delivering exceptional service.

We are currently seeking a qualified professional to fill the role of Senior Regulatory Reporting Accountant within our Regulatory Reporting Department. This position will report directly to the AVP of Regulatory Reporting and will primarily concentrate on the preparation and evaluation of customer/PAB reserve computations (15c3-3), while also engaging with net capital (15c3-1) and FOCUS reporting.

Key Responsibilities:
  • Prepare and assess Customer/PAB Reserve Computations (15c3-3).
  • Compile and analyze Net Capital (15c3-1) and FOCUS reports.
  • Generate daily and monthly reports to support regulatory and accounting functions.
  • Assist in internal and external audits as well as regulatory examinations.
  • Collaborate with various departments to reconcile discrepancies and calculate essential components for financial statements and regulatory reports.
  • Perform general accounting tasks for the broker-dealer, including reconciliations, journal entries, and allocations.
  • Address ad hoc requests as necessary.
Qualifications:
Essential Experience:
  • Bachelor's degree in Accounting, Finance, or a related discipline.
  • A minimum of five years of experience in the financial services industry.
  • Possession of FINRA Series 27 or the ability to obtain it within 120 days.
  • Proven experience in broker-dealer regulatory reporting, particularly with the 15c3-3 customer reserve requirement.
  • Strong analytical skills with a keen attention to detail.
  • Capability to assess processes and enhance procedural efficiency.
  • Excellent communication and interpersonal skills, facilitating effective collaboration across departments.
  • High proficiency in MS Excel and Word, with an aptitude for learning new software applications.
Benefits:
Wedbush Securities offers a comprehensive benefits package, including:
  • Medical, dental, and vision coverage with various health plan options.
  • Health Savings Account (HSA) with company contributions.
  • Flexible Spending Accounts (FSA) for traditional and dependent care.
  • Pre-Tax Commuter Benefits.
  • 401(k) Plan with competitive company matching and profit-sharing contributions.
  • Tuition reimbursement up to $5,250 per year.
  • Paid time off for vacation, sick leave, holidays, and volunteer activities.
  • Paid leave for parental bonding, jury duty, military service, and disability.
  • Sponsorship for FINRA and professional licenses.
  • Charitable donation matching contributions.
  • Employee assistance programs and discounts.
  • Discretionary compensation based on individual and company performance.
At Wedbush, we are committed to fostering a diverse and inclusive workforce that drives innovation and enhances client satisfaction. We strive to create an environment where all employees are valued for their unique contributions and provided equal opportunities for success.

This position is subject to various laws and regulations that may impose restrictions on employment due to criminal history.

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