Regulatory Reporting Senior Accountant - Birmingham, United Kingdom - Advisor Group

    Advisor Group
    Advisor Group Birmingham, United Kingdom

    2 weeks ago

    Default job background
    Full time
    Description

    Osaic Careers

    Corporate Finance Opportunity in Financial Services

    Regulatory Reporting Senior Accountant

    Location(s): Seeking Qualified Candidates in all company locations and 100% remote work from home within the United States

    Role Type: Full time

    Salary: $85,000 - $100,000 per year + annual bonus

    Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.

    Summary:

    The Regulatory Reporting Senior Accountant is a hands-on position with significant support and training to ensure success and career growth. This Senior Accountant role works with the FINOP on all broker-dealer matters including FOCUS reports, regulatory reporting, audits, and special projects. Additionally, the Regulatory Reporting Senior Accountant serves as treasury backup.

    Responsibilities:

    Regulatory Reporting (Primary):

  • Prepare FOCUS and relate reports
  • Prepare SIPC reports
  • Monitor compliance with FINRA and SEC regulations, including net capital
  • Broker-Dealer net capital monitoring and forecasting
  • Special projects, including mergers & acquisitions, and process improvement
  • Treasury (Secondary)

  • Bank portal backup, including admin and wire release
  • Cash forecasting
  • Education Requirements:

  • Bachelor's Degree in Accounting or Finance from an accredited university is required.
  • Basic Requirements:

  • Series 27 Financial Operations Principal (FINOP) required. Or obtain within 6 months
  • Working knowledge of FINRA and SEC regulations
  • Ability to work in a fast-paced and dynamic environment
  • Minimum of 3 years' experience of related work
  • Preferred Requirements:

  • Public Accounting experience
  • Certified Public Accountant (CPA)
  • Broker-Dealer, multi-entity, Introducing firm experience.