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    Broker Dealer Accountant - Chicago, United States - BCI - Brokerage Consultants Inc

    BCI - Brokerage Consultants Inc
    BCI - Brokerage Consultants Inc Chicago, United States

    3 weeks ago

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    Description
    The Broker Dealer Accountant will uphold the responsibility of maintaining precise financial records and reporting within the broker-dealer.

    This role will work closely with multiple departments to guarantee proper accounting treatment of transactions and compliance with regulatory standards.

    The selected candidate will hold a pivotal role in safeguarding the financial integrity of the firm's operations.


    Responsibilities:

    Closely work with trading, operations, and compliance departments to ensure precise accounting treatment of transactions and adherence to regulatory standards
    Prepare and assess financial statements, including balance sheets, income statements, and cash flow statements, adhering to GAAP and industry regulations
    Record, reconcile, and evaluate securities transactions to ensure accurate classification and valuation
    Monitor and uphold compliance with BD regulations set by the SEC, FINRA, and other relevant regulatory bodies
    Conduct daily, monthly, and annual reconciliations of brokerage accounts, bank accounts, and other financial records to detect and resolve discrepancies
    Aid in coordinating internal and external audits by providing necessary documentation and explanations to auditors
    Collaborate with other departments to find ways to improve operations, profitability, and data integrity
    Establish and maintain internal controls and procedures to safeguard assets, prevent fraud, and mitigate financial risk
    Utilize software applications, systems, and databases to accurately record, track, and analyze information


    Requirements:

    Bachelor's Degree in Accounting, Finance, or related field
    3-5+ years specific to self-clearing broker-dealer experience
    FINRA Series 27 required
    CPA preferred
    Knowledge of accounting principles, regulations, and industry-specific rules for broker-dealers
    Self-clearing broker-dealer experience, 15c3-1, Stock records and allocations, 15c3-3, 17-H reporting, Quarterly securities counts, etc. experience a plus
    Strong analytical skills and attention to detail
    Proficiency in financial software and Microsoft Excel required; FIS/Phase 3 and SQL preferred
    Excellent communication and teamwork skills to collaborate effectively with various departments

    Target base salary range for this role is between $80-120k, depending on candidate experience, skillset, etc.
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