Broker Dealer Accountant

1 week ago Be among the first 25 applicants

Social Capital Resources provided pay range

This range is provided by Social Capital Resources. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.

Base pay range

$85,000.00/yr - $120,000.00/yr

Job Summary:

Responsible for maintaining financial records, ensuring compliance with SEC and FINRA regulations, and preparing financial reports for a broker-dealer firm. Duties include general ledger accounting, regulatory filings (e.g., FOCUS reports), reconciliation of accounts, and supporting audits and examinations.

Key Responsibilities:

• Prepare and file monthly and quarterly FOCUS reports
• Maintain general ledger and perform month-end close
• Reconcile cash, trading, and clearing accounts
• Ensure compliance with FINRA, SEC, and other regulatory requirements

*Must Have Broker Dealer exposure, Series 27 or Series 99 is preferred*

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing

• Industries

  Accounting and Financial Services

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

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