Job Order ID: 1174
Employment Type: Permanent
Job Location: New York New York
Target Salary:

Job Function:

  • Hands on role, reporting to the CFO, this person would work together with our finance/accounting team and prepare the net capital calculations, assist in completing the FOCUS report, associated monthly/quarterly FINRA and SEC reports.   
  • Person will also assist heavily with the month end reconciliations and other finance related requests from management.  
  • In addition, this person will play an integral role in assisting with computing certain haircuts and other net capital charges daily.
  • Assist in the preparation of the weekly Customer and PAB Reserve computations.
  • Assist in the preparation of daily and monthly 15c3-1 Capital computation and the weekly and monthly 15c3-3 reserve computations.
  • Responding to requests from management, independent accountants and/or regulatory bodies related to the financial matter sand regulatory computations


  • Bachelor degree in Accounting
  • 3-5 years of progressive experience in regulatory reporting related role either at a clearing broker-dealer , or as a financial auditor/regulatory examiner of clearing broker-dealers
  • Proficient with 15c3-1   net capital and 15c3-3 reserve computations
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem-solving skills and analytical abilities
  • Ability to work well both independently and as part of a team
  • Strong attention to detail
  • Advanced experience/skills with Excel and complex spreadsheets
  • Series 27 is a plus, but not required
  • CPA  is a plus, but not required