An outstanding opportunity to join the Broker Dealer Financial Reporting team responsible for prepping the financial statements (GAAP and regulatory) for the firm's broker dealer subsidiaries.
- Timely and accurate filing of FINRA reports, including the Supplemental Schedule of Income, Off Balance Sheet report, SEC 17-H and Annual Risk Assessment report, and the Semi-Annual SIPC report.
- In managing relationships with broker dealers, working internally with compliance, taxes, and law, and monthly financial results analysis and due-diligence
- Preparing quarterly board reporting. Responsibilities
- Prepare and file FINRA reports, including the Supplemental Schedule of Income, Off Balance Sheet report, SEC 17-H and Annual Risk Assessment report, and the Semi-Annual SIPC report
- Manage relationships with broker-dealers
- Work internally with compliance, taxes, and law