Assistant Vice President, Regulatory Accounting
$126,000–$166,000 year
On-siteLos Angeles, California, United States
Job Summary
Oversee and manage regulatory accounting activities for newly created broker-dealer entities, including preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings. Review and audit daily through annual Capital Reporting, Customer and PAB reserve computations, and Balance Sheet and P&L data for regulatory filings. Manage relationships with regulators by analyzing, researching, and responding to inquiries from FINRA, SEC, CFTC, and CME. Research, evaluate, and enhance written regulatory accounting policies and procedures while leading initiatives to implement best practices and process improvements. Serve as a key liaison with internal and external auditors, partner cross-functionally to prepare filings, and train, mentor, and provide ongoing guidance to regulatory accounting staff.
Required Qualifications
- Bachelor's degree
- Bachelor's degree, preferably for Business or Economics with a concentration in Accounting or Finance
- Minimum of 5 years of regulatory accounting and reporting experience within a broker-dealer environment
- Extensive FINRA experience, including deep knowledge of Rules 15c3-1 and 15c3-3
- FINRA Series 27 required, or willingness to obtain
- Exceptionally detail-oriented with a strong focus on accuracy and compliance
- Excellent communication and presentation skills, with the ability to engage effectively across departments and organizational levels
- Strong analytical skills with the ability to interpret complex regulatory and financial information
Desired Qualifications
- Proficiency with the Broadridge Processing System (BPS) for regulatory data processing preferred
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