Senior Regulatory Accountant
2 weeks ago
Wedbush Securities, a prominent player in the financial services sector, is seeking a seasoned professional to fill the role of Senior Regulatory Reporting Accountant. This position is crucial for the preparation and assessment of customer/PAB reserve computations (15c3-3), along with involvement in net capital (15c3-1) and FOCUS reporting.
Key Responsibilities:
- Conduct thorough preparation and review of Customer/PAB Reserve Computations (15c3-3).
- Oversee the preparation and evaluation of Net Capital (15c3-1) and FOCUS reports.
- Generate daily and monthly reports and schedules 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.
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.
- Demonstrated experience in broker-dealer regulatory reporting, particularly with the 15c3-3 customer reserve requirement.
- Exceptional analytical skills with a keen eye for detail.
- Capability to analyze processes and enhance procedural efficiency.
- Strong communication and interpersonal skills, facilitating effective collaboration across departments.
- High proficiency in MS Excel and Word; skilled in adapting to new software applications.
Wedbush Securities offers a comprehensive benefits package, including:
- Extensive medical, dental, and vision coverage with multiple 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 discretionary company matching and profit-sharing contributions.
- Tuition reimbursement up to $5,250 per year.
- Paid vacation, sick time, holidays, and volunteer time off.
- Paid leave for parental bonding, jury duty, military service, and disability.
- Sponsorship for FINRA and professional licenses.
- Charitable donation matching contributions.
- Travel and employee assistance programs.
- Discretionary compensation based on individual and firm performance.
This position is subject to various laws and regulations regarding employment eligibility.
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