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Corporate Finance Opportunity in Financial Services
Regulatory Reporting Senior Accountant
Location(s): Seeking Qualified Candidates in all company locations and 100% remote work from home within the United States
Role Type: Full time
Salary: $85,000 - $100,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
Our competitive salaries are just one component of Osaic's total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:
Summary:
The Regulatory Reporting Senior Accountant is a hands-on position with significant support and training to ensure success and career growth. This Senior Accountant role works with the FINOP on all broker-dealer matters including FOCUS reports, regulatory reporting, audits, and special projects. Additionally, the Regulatory Reporting Senior Accountant serves as treasury backup.
Responsibilities:
Regulatory Reporting (Primary):
- Prepare FOCUS and relate reports
- Prepare SIPC reports
- Monitor compliance with FINRA and SEC regulations, including net capital
- Broker-Dealer net capital monitoring and forecasting
- Special projects, including mergers & acquisitions, and process improvement
Treasury (Secondary)
- Bank portal backup, including admin and wire release
- Cash forecasting
Education Requirements:
- Bachelor's Degree in Accounting or Finance from an accredited university is required.
Basic Requirements:
- Series 27 Financial Operations Principal (FINOP) required. Or obtain within 6 months
- Working knowledge of FINRA and SEC regulations
- Ability to work in a fast-paced and dynamic environment
- Minimum of 3 years' experience of related work
Preferred Requirements:
- Public Accounting experience
- Certified Public Accountant (CPA)
- Broker-Dealer, multi-entity, Introducing firm experience.