Job Description
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
- 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
Numbers & Facts
| Location | Pasadena, CA |
| Industry | Staffing/Employment Agencies |
| Salary | $90,000 |
| Company Size | 50 to 99 employees |
| Year Founded | 2002 |
| Website | https://phaxis.com/ |
About Company
We stand for PERSEVERANCE, as we refuse to quit when the journey gets tough. Your gold is our mission, and we search day and night to find it.
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