AVP Regulatory Accounting

Our growing Accounting team is seeking an Assistant Vice President, Regulatory Accounting, to oversee and ensure financial regulatory compliance across multiple broker‑dealer entities.

Responsibilities Include But Are Not Limited To

• Oversee and manage regulatory accounting activities for newly created broker-dealer
• Manage the preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings
• Review and audit daily, weekly, monthly, quarterly, and annual Capital Reporting, Customer and PAB reserve computation
• Audit and analyze Balance Sheet and P&L for regulatory filings
• Manage relationships with regulators (FINRA and SEC) by analyzing, researching and responding to inquiries
• Coordinate with Futures regulatory counterparts to ensure prompt and accurate responses to inquiries from Futures regulators (CFTC and CME)
• Research, evaluate, and enhance written regulatory accounting policies and procedures to ensure accuracy and compliance
• Lead and manage initiatives to implement regulatory accounting best practices and process improvements
• Serve as a key liaison with internal and external financial and regulatory auditors
• Partner cross‑functionally with departments across the firm to prepare regulatory filings and maintain ongoing regulatory compliance
• Audit departmental data and documentation to validate completeness, adequacy, and accuracy
• Train, mentor, and provide ongoing guidance to regulatory accounting staff
• Perform other duties as required and assigned

Experience And Skills

• Bachelor’s degree required, preferably for Business or Economics with a concentration in Accounting or Finance
• Minimum of 5 years of regulatory accounting and reporting experience within a broker-dealer environment
• Extensive FINRA experience, including deep knowledge of Rules 15c3-1 and 15c3-3
• FINRA Series 27 required, or willingness to obtain
• Proficiency with the Broadridge Processing System (BPS) for regulatory data processing preferred
• Exceptionally detail-oriented with a strong focus on accuracy and compliance
• Excellent communication and presentation skills, with the ability to engage effectively across departments and organizational levels
• Strong analytical skills with the ability to interpret complex regulatory and financial information

What We Offer

• Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
• Health Savings Account with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• Pre-Tax Commuter Benefits
• 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
• Tuition reimbursement up to $5,250/year
• 3 weeks of Paid Time Off
• 2 weeks of Paid Sick Time (may vary by location)
• 10 Paid Holidays
• Charitable Donation Matching Contributions
• Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
• FINRA License Sponsorship
• Travel & Employee Assistance and Employee Discount Programs