Regulatory Accounting Manager

Los Angeles, CA

Posted: 12/17/2018 Industry: FIN Perm Job Number: 11682860
Responsibilities Include But Are Not Limited To
  • Manage daily activities of the regulatory accounting team
  • Manage the preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings
  • Manage relationship with regulators (Client and SEC) by analyzing, researching and responding to inquiries
  • Coordinate with Futures regulatory counterparts to ensure prompt and accurate responses to inquiries from Futures regulators (CFTC and CME)
  • Improve and enhance written regulatory accounting procedures
  • Lead projects related to implementing best practices within regulatory accounting
  • Liaise with internal and external financial and regulatory auditors
  • Interact and work with various departments within the firm to prepare regulatory accounting filings and manage regulatory accounting compliance
  • Audit departmental information to validate adequacy and accuracy
  • Train and mentor regulatory accounting staff



Required Experience
  • BA/BS; Business/Econ degree with emphasis in accounting/finance preferred
  • 10+ years of Regulatory Accounting Reporting
  • Client experience desirable
  • Extensive knowledge of Rules 15c3-1 and 15c3-3
  • Client Series 27 license is highly preferred
  • Highly meticulous, with an emphasis on details and accuracy
  • Ability to analyze processes and identify areas of improvement
  • Strong analytical skills and knowledge


Keyword: Regulatory Manager

Nick LaPetina

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