Senior Accountant, Broker-Dealer Accounting
Core
Senior accountant owning the monthly close and regulatory reporting for a self-clearing broker-dealer, managing complex reconciliations, accruals, and journal entries across cash, clearing, custody, and regulatory fee accounts.
Role type
Senior IC accountant (broker-dealer regulatory close)
Builds
Monthly financial statements, FOCUS reports, and net capital computations for a self-clearing broker-dealer
Domain
Financial Services / Broker-Dealer Accounting / Regulatory Compliance
Required skills
Broker-dealer accounting concepts, complex accruals, multi-entity/multi-bank reconciliations, FOCUS reporting, net capital rules, advanced Excel, ERP/GL systems
Preferred skills
CPA, exposure to customer reserve formula, experience with sweep programs and PFOF
Technologies
NetSuite, Excel (pivot tables, lookups)
Responsibilities
Perform and review monthly bank reconciliations across operating, sweep, and clearing accounts; Prepare and true-up monthly accruals for clearing broker relationships and execution venue costs; Prepare monthly accruals for regulatory fees (CAT, SEC Section 31, FINRA); Reconcile omnibus and clearing accounts held at correspondent clearing firms; Partner with Controller on flux analysis and variance explanations for FOCUS/X-17A-5 filings
Seniority
Senior, hands-on IC
