AVP- Regulatory Accounting

Regulatory Accounting Manager / Broker-Dealer ReportingResponsibilitiesOversee and manage regulatory accounting and reporting activities within a broker-dealer environmentPrepare and review Net Capital Rule 15c3-1 computations, Customer Reserve Rule 15c3-3 calculations, FOCUS Reports, and additional regulatory filingsReview daily, weekly, monthly, quarterly, and annual capital reporting and reserve computations for accuracy and complianceAnalyze balance sheet and P&L activity related to regulatory reporting requirementsServe as a liaison with regulatory agencies, including responding to inquiries and supporting audits/examinationsPartner cross-functionally with internal departments to ensure timely and accurate regulatory filingsResearch, evaluate, and enhance regulatory accounting policies, procedures, and internal controlsLead initiatives focused on process improvements and regulatory accounting best practicesCoordinate with internal and external auditors on financial and regulatory auditsReview departmental data and supporting documentation to ensure completeness and accuracyMentor and support junior regulatory accounting staff as neededQualificationsBachelor’s degree in Accounting, Finance, Business, Economics, or related fieldMinimum 5+ years of regulatory accounting and reporting experience within a broker-dealer environmentStrong understanding of FINRA and SEC regulations, including Rules 15c3-1 and 15c3-3FINRA Series 27 license preferred or willingness to obtainExperience with regulatory reporting systems and financial data platforms preferredStrong analytical, organizational, and problem-solving skillsDetail-oriented with a strong focus on compliance and accuracyExcellent communication skills with the ability to work across departments and leadership levels