Senior Regulatory Reporting Accountant

Our clients Regulatory Reporting team is seeking an experienced Senior Regulatory Reporting Accountant to support the firm's broker-dealer regulatory reporting requirements. Reporting to the VP of Regulatory Reporting, this role will focus primarily on Customer/PAB Reserve Computations (15c3-3), with additional exposure to Net Capital (15c3-1) and FOCUS reporting.

Our clients Regulatory Reporting team is seeking an experienced Senior Regulatory Reporting Accountant to support the firm's broker-dealer regulatory reporting requirements. Reporting to the VP of Regulatory Reporting, this role will focus primarily on Customer/PAB Reserve Computations (15c3-3), with additional exposure to Net Capital (15c3-1) and FOCUS reporting.
Key Responsibilities

• Prepare and review Customer and PAB Reserve Computations (15c3-3)
• Prepare and review Net Capital (15c3-1) and FOCUS reports
• Prepare daily and monthly regulatory and accounting schedules
• Perform reconciliations and investigate discrepancies across accounting and regulatory reporting
• Support internal and external audits, as well as regulatory examinations
• Partner with internal teams to calculate and reconcile components impacting financial statements and regulatory filings
• Perform general broker-dealer accounting functions, including journal entries, reconciliations, and allocations
• Support additional regulatory reporting and accounting initiatives as needed

Qualifications

• Bachelor's degree in Accounting, Finance, or a related field
• 5+ years of financial services experience, preferably within a broker-dealer environment
• Client Series 27 required or ability to obtain within 120 days