Job DescriptionOur Regulatory Reporting Department is seeking an experienced professional to join our team as a Senior Regulatory Reporting Accountant. Reporting directly to the VP, Regulatory Reporting, this role will primarily focus on the preparation and review of the customer/PAB reserve computation (15c3-3), with exposure to net capital (15c3-1) and FOCUS reporting.
Responsibilities include but are not limited to:- Prepare and review Customer/PAB Reserve Computations (15c3-3)
- Prepare and review Net Capital (15c3-1) and FOCUS reports
- Prepare daily and monthly reports and schedules to support regulatory and accounting processes
- Assist with internal and external audits and regulatory examinations
- Collaborate with various departments within the firm to reconcile differences and calculate components critical to the financial statements and regulatory reports
- Perform general accounting duties for the broker dealer including reconciliations, journal entries, allocations, etc.
- Perform other duties as required and assigned
Experience and Skills- Bachelor's degree in Accounting, Finance or related field
- Minimum of five years' experience within the financial services industry
- FINRA Series 27 or ability to obtain within 120 days
- Experience and expertise in broker dealer regulatory reporting, including performing and/or overseeing the 15c3-3 customer reserve requirement
- Excellent analytical skills with meticulous attention to detail
- Ability to analyze processes and improve efficiency of procedures
- Strong communication and interpersonal skills, with the ability to collaborate effectively across departments
- Highly proficient in MS Excel and Word; adept at learning new software applications
Job BenefitsAs part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.
- Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
- Health Savings Account with company-sponsored contributions
- Flexible Spending Accounts (FSA) traditional and dependent care
- Pre-Tax Commuter Benefits
- 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
- Tuition reimbursement up to $5,250/year
- 3 weeks of Paid Time Off
- 2 weeks of Paid Sick Time (may vary by location)
- 10 Paid Holidays
- Charitable Donation Matching Contributions
- Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
- FINRA License Sponsorship
- Travel & Employee Assistance and Employee Discount Programs
The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $100,000 to $130,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
