About the team + role
The Financial Operations group is primarily responsible for the firm's compliance with the SEC, FINRA and other regulatory agencies rules and regulations. The group compiles, reviews and prepares regulatory and financial reports, including but not limited to, 15c3-3 Customer Reserve, Net Capital Computations (SEC) and FOCUS & with all the supplemental schedules. Primary responsibilities will be preparing and assisting in production of Daily Net Capital schedule, the weekly 15c3-3 reserve comp, prepare month end accounting entries and reconciliations, the month end FOCUS report. In addition, this role will assist in the month end accounting process.
As Financial Operations Manager, you will assist/and or prepare the daily/monthly financial regulatory reports and assisting in the accounting close.
It is preferred that this role is located in one of the office locations listed on this job description which will align with our in-office working environment. This position is only eligible for remote work in limited geographies within the US where we do not have physical office locations. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.
What you’ll do
- Prepare or assist in producing required financial regulatory reports for the broker/dealer, including the Reserve Computation and FOCUS report.
- Assist the team in the month end accounting close process for the registered broker/dealer including preparing accounting entries, reconciliation and financial reports.
- Assemble data to complete the reports required to comply with daily regulatory reporting requirements
What you bring
- Bachelor’s degree at an accredited institution in accounting or related fields.
- 3+ years of experience in the finance department of a bank or broker/dealer with deep knowledge of key processes and controls surrounding the preparation and delivery of required regulatory reports.
- Accounting experience at a financial institution including knowledge of accounting entries, reconciliations and financial analysis,
- Intermediate knowledge of Excel .
- Series 27 or 99 (preferred, but will need to obtain within 1 year)
What we offer
- Market competitive and pay equity-focused compensation structure
- 100% paid health insurance for employees with 90% coverage for dependents
- Annual lifestyle wallet for personal wellness, learning and development, and more!
- Lifetime maximum benefit for family forming and fertility benefits
- Dedicated mental health support for employees and eligible dependents
- Generous time away including company holidays, paid time off, sick time, parental leave, and more!
- Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits
