Broker Dealer Senior Accountant

About the role

As Broker Dealer Sr Accountant, you will be responsible for performing the end-to-end monthly accounting close process for three SEC-registered broker-dealers, preparing monthly and quarterly FINRA filings, supporting year-end GAAP audits, and managing regulatory examinations.

Responsibilities

• Perform the end-to-end monthly accounting close process for three SEC-registered broker-dealers, ensuring timely, accurate, and compliant financial statements.
• Prepare monthly and quarterly FINRA filings, including FOCUS Reports and Net Capital computations.
• Responsible for year-end GAAP audits with external auditors, including providing support and year-end financial statements, and responding to audit inquiries.
• Support regulatory examinations including providing support documents and responding to inquiries from regulators.
• Maintain documentation of all close processes, accounting policies, and regulatory filings to support audit and compliance readiness.
• Respond to ad-hoc requests as needed, and support ongoing department process improvement initiatives.

Requirements

• Bachelor’s degree in accounting or finance required; CPA preferred.
• Minimum 5 years of accounting experience with at least 2 years focused on broker-dealer accounting.
• Willingness to pass Series 27 exam within one year of joining.
• Strong analytical, problem-solving, and communication skills to coordinate cross-functional teams effectively.
• High level of integrity, attention to detail, and ability to work independently and collaboratively in a fast-paced environment.
• Experience coordinating with trade operations or back-office functions a plus.

Qualifications

• Minimum 5 years of accounting experience with at least 2 years focused on broker-dealer accounting.
• Willingness to pass Series 27 exam within one year of joining.
• Strong analytical, problem-solving, and communication skills to coordinate cross-functional teams effectively.
• High level of integrity, attention to detail, and ability to work independently and collaboratively in a fast-paced environment.
• Experience coordinating with trade operations or back-office functions a plus.

Skills

• Strong analytical and problem-solving skills.
• Ability to coordinate cross-functional teams effectively.
• Attention to detail and ability to work independently and collaboratively in a fast-paced environment.
• Experience coordinating with trade operations or back-office functions.

Benefits

• Comprehensive suite of employee benefits including group medical, pharmacy, dental and vision insurance, 401k (with discretionary employer match), short and long-term disability, life and AD&D insurance, health savings accounts, and flexible spending accounts.

Pay

The annual base salary range for this position is $110,000 to $135,000 depending on the candidate’s experience, qualifications, and relevant skill set. The position is also eligible for an annual discretionary bonus.

Schedule

N/A

Application Instructions

N/A