Broker Dealer Accountant


Investment Management Client

Office Status: Hybrid


  • Preparation of Regulatory Reports include:
    • Monthly FINRA FOCUS Report
    • Daily 15c3-1 Net Capital Calculation
    • Weekly 15c3-3 Reserve Calculation
    • Quarterly SEC 17-H
    • Semi-annual SIPC Form
  • Preparation of NSA year-end audited US GAAP financial Statements, including footnotes disclosures.
  • Develop, implement and maintain internal controls procedures.
  • Assume process improvement and efficiency projects, including automation of preparation of Regulatory Reports.
  • Assist with all regulatory inquiries and periodic examinations.
  • Prepare Senior Management Regulatory Reports results including variance explanations.
  • Develop strong working relationship with Broker Dealer Management, Compliance, Front Office and Operations to review current and establish new regulatory controls.
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