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Regulatory Accounting Manager (466-3)
Los Angeles, CA
Full-service investment bank and brokerage firm headquartered in the financial
district of downtown Los Angeles is seeking an experienced professional, who
will report directly to the Senior Vice President, Controller and will oversee
the financial regulatory compliance.
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
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 skills and knowledge
Asset Management // Broker Dealer // Public Accounting