Empathy Talent is looking for AVP Regulatory Accounting in Los Angeles, CA. This local job opportunity with ID 3688072715 is live since 2026-05-22 17:33:14.

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