Tech Stack

Description

You will assist with regulatory financial reporting, net capital compliance, and reserve calculations for multiple regulated entities, ensuring accurate books and records. You'll prepare FOCUS Reports, coordinate audits, and partner with operations and compliance to maintain internal controls.

Requirements

• Bachelor's degree in Accounting or Finance; CPA preferred
• 3+ years of broker-dealer accounting experience
• Strong hands-on experience with SEC Rules 15c3-1 and 15c3-3
• Experience preparing FOCUS Report schedules
• Series 27 license highly preferred or willingness to obtain

Responsibilities

• Prepare and review Net Capital computations under SEC Rules 15c3-1 and 18a-1
• Perform Customer and PAB Reserve calculations under SEC Rule 15c3-3
• Prepare and file FOCUS Reports for multiple regulated entities
• Maintain broker-dealer and SBSD general ledgers and prepare financial statements
• Develop internal controls around capital and reserve processes