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Regulatory Analyst/Accountant

Dallas, TX 75251

Category: Other Area(s) Job Number: 41823 Location Requirements: Hybrid

Job Description

We are searching for a Regulatory Analyst/Accountant for our Dallas based Financial Services client.  This position will support their brokerage firm and involves ensuring compliance with financial regulations and standards specific to brokerage operations. The position will also assist the finance department with various accounting duties such as related reconciliations, journal entries, schedules, or other ad hoc projects. Responsibilities also will include interpreting and implementing regulatory requirements set forth by organizations such as the SEC, FINRA, and other relevant regulatory bodies. This role involves analyzing brokerage transactions, preparing regulatory filings, and ensuring accurate financial reporting in accordance with regulatory guidelines. Strong analytical skills and accounting background, regulatory knowledge, attention to detail, and effective communication abilities are essential for success in this role.
Job Responsibilities
  • Assist team on PAB, Customer Reserve 15c3-3 and Net Capital 15c3-1, FOCUS reports and other regulatory filings. 
  • Collaborate across multiple departments in the organization. 
  • Assisting in the development of financial statements and reports. 
  • Support on monthly journal entries, reconciliations, and financial closing process. 
  • Assist on various financial and regulatory audits. 
  • Work with internal and external financial and regulatory auditors.
  • Assist in maintaining and contributing to control processes and procedures. 
  • Ad hoc FINRA Reporting – preparation and analysis.
  • Cross departmental coordination with daily requirements and projects. 
  • Contribute to various back office and system implementation projects across the organization. 
  • Performs other related duties as assigned. 
Job Requirements
  • Bachelor’s degree in finance, Accounting or similar
  • Series 27 or ability to obtain within 6 months. 
  • Regulatory reporting experience from broker dealer (Preferred)


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