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Regulatory Financial Analyst
2 months ago
Wedbush Securities stands as a prominent player in the securities and investment banking sector, delivering innovative financial solutions through our various divisions, including Wealth Management, Capital Markets, Futures, and Advanced Clearing & Prime Services.
With our headquarters located in Los Angeles, California, and a vast network of over 100 offices alongside more than 80 correspondent offices, our unwavering dedication to providing tailored service is the cornerstone of our sustained growth.
Our Regulatory Accounting Department is on the lookout for a seasoned professional eager to deepen their understanding of regulatory accounting standards.
This pivotal position within our accounting and finance team will report directly to the Regulatory Accounting Manager.
Key Responsibilities Include:- Accurately compile regulatory submissions (such as FOCUS reports, Customer Reserve, and Net Capital calculations) with meticulous attention to detail.
- Generate daily and monthly reports and schedules to support regulatory and accounting functions.
- Collaborate effectively with both internal and external financial and regulatory auditors.
- Engage with various departments within the organization to resolve discrepancies and compute essential components for financial statements and regulatory filings.
- Prepare FOCUS Sub-Schedules, including Firm Investment Haircut, Market Blockage, Operational Charges, and Possession Control.
- Execute general accounting tasks for the broker-dealer, encompassing reconciliations, journal entries, and allocations.
- Undertake additional duties and responsibilities as assigned.
Required Qualifications:
- Bachelor's Degree from an accredited institution, ideally in Business or Economics with a focus on accounting or finance.
- A minimum of 3 years of experience in corporate or public accounting, preferably with a Big 4 firm.
- Strong knowledge and comprehension of U.S. GAAP.
- Familiarity with regulatory reporting standards, specifically 15c3-1 and 15c3-3.
- Experience in regulatory reporting from a broker-dealer is highly desirable.
- Detail-oriented with a strong emphasis on accuracy.
- Proficient analytical skills with the ability to enhance procedural efficiency.
- Advanced skills in MS Excel and Word, with a capacity to quickly learn new software applications.
Benefits:
Wedbush Securities provides a comprehensive benefits package to our employees:
- Extensive medical, dental, and vision coverage with various health plan options for you and your family.
- Health Savings Account with employer-sponsored contributions.
- Flexible Spending Accounts (FSA) for traditional and dependent care.
- Pre-Tax Commuter Benefits.
- 401(k) plan featuring competitive company matching and profit-sharing contributions.
- Tuition reimbursement up to $5,250 annually.
- Three weeks of Paid Time Off.
- Two weeks of Paid Sick Time (may vary by location).
- Ten Paid Holidays.
- Charitable Donation Matching Contributions.
- Paid Leave for Military, Jury Duty, Volunteer Time Off, Disability, etc.
- FINRA License Sponsorship.
- Travel & Employee Assistance and Employee Discount Programs.
The estimated compensation range for this position is $60,000-$80,000, subject to adjustment based on geographic location. Additional discretionary incentive compensation may be available based on individual and firm performance.
At Wedbush, it is uncommon for an individual to be hired at or near the top of the compensation range for their role. Compensation decisions are made on a case-by-case basis, considering various factors such as skill sets, experience, training, licensure, certifications, and other organizational needs.
Wedbush Securities is proud to be an Equal Employment Opportunity employer, fostering a culture of inclusion where all employees are valued for their unique contributions and provided equal opportunities to succeed.
Wedbush utilizes E-Verify to confirm the eligibility of all newly hired employees to work in the United States.
