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AVP Broker Dealer Accountant

  • Location

    New York, United States

  • Sector:

    Audit & Finance

  • Job type:

    Permanent

  • Contact:

    Paul McGuinness

  • Job ref:

    34912

  • Published:

    2 months ago

  • Expiry date:

    2019-09-12

  • Consultant:

    Paul McGuinness

Seeking a highly motivated, detail oriented individual to work in the Accounting department of a U.S. broker-dealer subsidiary of a multinational financial services group.

 

Job Description:

Regulatory Responsibilities:

  • Prepare regulatory reports with FINRA, SEC and FRB, which include FOCUS Report and corresponding supplemental schedules, TIC S reporting and other various filings.
  • Ensure compliance with the SEC’s Uniform Net Capital Rule 15c3-1 and the Customer Protection Rule 15c3-3 for both self-clearing and fully introduced activity
  • Ensure compliance with SEC Rule 17a-5
  • Preparing BSI for ongoing regulations including Enhanced Prudential Standards, Liquidity Coverage ratio, Asset-Liability Management and Volcker Rule
  • Assist in audits from regulators, internal auditors and external audits

 

Accounting Responsibilities:

  • Prepare system reconciliations and assist in month-end closing
  • Monitor daily activities, including the following: firm funding, firm pricing, cash flow, daily P&L, accounts payable/receivable and back office reports
  • Prepare daily/monthly journal entries
  • Prepare monthly reconciliations of HR/Payroll Activity
  • Analyze monthly variances in the balance sheet and income statement
  • Track and analyze operating expenses by business lines

 

Qualifications

  • Bachelors or Masters in Accounting
  • Experience in using Broadridge Impact system
  • 7 + years’ experience
  • Knowledge of U.S. GAAP and of regulatory laws and regulations surrounding U.S. Broker-Dealer entities
  • Ability to understand and solve accounting issues
  • Proficient in Microsoft Office
  • Series 27 License preferred
  • CPA is a plus
  • Spanish speaker is a plus