app jobs sales-marketing companies s strategic resource partners, inc. sr. regulatory accountant - broker dealer - remote

Sr. Regulatory Accountant - Broker Dealer - Remote


One of the nations larges investment banking and brokerage firms is looking to hire a Senior Regulatory Accountant. This person can work out of the New York or Los Angeles office. Remote to start.

  • Bachelor's - in Business, Economics, Accounting, Finance or other related field
  • 4+ years of regulatory accounting at a broker dealer
  • Advanced knowledge of 15c3-1 and 15c3-3



Responsibilities Include, But Are Not Limited To



  • Accurately compile regulatory filings (FOCUS reports, including Customer Reserve and Net Capital computations, etc.)
  • Prepare daily and monthly reports and schedules to support regulatory and accounting processes
  • Effectively work with internal and external financial and regulatory auditors
  • Interact and work with various departments within the firm to reconcile differences and calculate pieces critical to the financial statements and regulatory reports
  • Analyze reconciliation results between GL and transactional data, identify issues, and provide resolution
  • Experience and Skills
  • Bachelor's Degree required, preferably in Business, Economics, Accounting, Finance or other related field
  • 4+ years of regulatory accounting at a broker dealer
  • Advanced knowledge of 15c3-1 and 15c3-3
  • FINRA Series 27 license preferred
  • Highly meticulous, detail oriented and accurate
  • Ability to analyze processes and improve efficiency of procedures
  • Strong analytical and accounting skills and knowledge
  • Highly proficient in MS Excel and Word; agile at learning new software applications
  • Perform other tasks and duties as required



  • We specialize in staffing exceptional IT Professionals to industry leading companies in the US and abroad. Through our dedicated and ethical approach, we represent the finest employers and professionals in the marketplace today. This position is with one of our clients.Show moreShow less


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