Corporate Accountant
Core
Handles month-end close, regulatory reporting (FINRA/SEC), and customer asset protection for a registered broker-dealer.
Role type
Corporate Accountant (Broker-Dealer)
Builds
Monthly FOCUS filings, quarterly financial statements, customer reserve calculations
Domain
Financial Services / Broker-Dealer Operations
Required skills
GAAP, financial reporting, journal entries, account reconciliations, regulatory compliance, risk management, audit support
Preferred skills
CPA, MBA, financial controls, Excel
Technologies
Accounting software, Microsoft Excel, Word, PowerPoint
Responsibilities
Complete month-end close and journal entries; Prepare Balance Sheet, Income Statement, and Net Capital calculations for FOCUS reporting; Calculate weekly Customer Reserve per SEC rule 15c3-3; Create quarterly financial statements and certification packages; Manage account reconciliations and resolve discrepancies; Identify and manage accounting/regulatory risks; Support external and regulatory audits (FINRA, SEC, PwC)
Seniority
Early-career
