Regulatory Accounting Manager

Wedbush Securities

(Los Angeles, California)
Full Time
Job Posting Details
About Wedbush Securities
WEDBUSH, Inc. is a leading financial services and investment firm that, through its holdings, provides private and institutional brokerage, investment banking, research, clearing and execution, private capital, commercial banking, and asset management to individual, institutional and issuing clients.
Summary
Wedbush Securities is a full-service investment bank and brokerage firm headquartered in the financial district of downtown Los Angeles. Our accounting and finance department is seeking an experienced professional, who will report directly to the Senior Vice President, Controller and will oversee the financial regulatory compliance.
Responsibilities
* Manage daily activities of the regulatory reporting team * Manage the preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings * Manage relationship with regulators (including FINRA, CME, SEC, NFA) by analyzing, researching and responding to inquiries * Liaise with internal and external financial and regulatory auditors * Interact and work with various departments within the firm to prepare regulatory filings and manage regulatory compliance * Audit departmental information to validate adequacy and accuracy * Train and mentor regulatory staff
Ideal Candidate
* BA/BS; Business/Econ degree with emphasis in accounting/finance preferred * 10+ years of Regulatory Reporting * FINRA experience desirable * Extensive knowledge of Rules 15c3-1 and 15c3-3 * FINRA Series 27 license is highly preferred * Highly meticulous, detail oriented and accurate * Ability to analyze processes and improve efficiency of procedures * Strong analytical and skills and knowledge
Compensation and Working Conditions
Reports to Senior Vice President, Controller

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