Ajccorp
FINOP Self Clearing Broker-Dealer
Ajccorp, Trenton, New Jersey, United States,
About The RoleAs FINOP, you will be responsible for the regulatory financial reporting and compliance for the Company’s Broker-Dealer. You will report into the Principal Operating Officer and work closely with the executive team, Legal and Compliance. You will focus on the Finance team’s reporting infrastructure and make sure the Broker-Dealer unit is equipped to scale and support the firm's growth strategy.
What You Will Do
Work on day-to-day accounting and reporting responsibilities of the Self-Clearing Broker-Dealer.
Prepare and submit accurate financial reports, including FOCUS filings and Self Clearing firm SEC reporting, in compliance with established deadlines.
Calculate and monitor net capital positions to meet regulatory requirements.
Develop and maintain policies and procedures to ensure integrity of financial reporting.
Ensure timely close of the company books and reporting of financial results in accordance with US GAAP every month.
Work with Legal and Compliance teams on regulatory exams (FINRA/SEC) and communication.
Ensure that operational processes (trade processing/settlement/clearing) are accurately reconciled to the accounting general ledger and comply with regulatory requirements.
Communicate with Senior management in identifying and resolving Broker-Dealer issues.
Provide support for all tax filings and annual audits.
Requirements
5+ years’ experience at Self-Clearing Broker-Dealer in Finance and Accounting functions.
5+ years’ experience as Broker-Dealer FINOP (Series 27 Required).
Experience with Self Clearing Firm financial operations and reporting, Stock loan/conduit/Fully paid, business lines.
Revenues recognition for multiple asset classes (Equities, Options).
An understanding of financial reporting systems, procedures, and internal controls.
Strong organizational skills, attention to detail and prioritization capabilities.
Demonstrated ability to manage multiple projects and adapt to change.
Strong analytical, critical-thinking and problem-solving skills.
Ability to effectively communicate and interact with all levels of management and work in a team-oriented environment.
CompensationCompensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience.
Location: New York and New Jersey
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What You Will Do
Work on day-to-day accounting and reporting responsibilities of the Self-Clearing Broker-Dealer.
Prepare and submit accurate financial reports, including FOCUS filings and Self Clearing firm SEC reporting, in compliance with established deadlines.
Calculate and monitor net capital positions to meet regulatory requirements.
Develop and maintain policies and procedures to ensure integrity of financial reporting.
Ensure timely close of the company books and reporting of financial results in accordance with US GAAP every month.
Work with Legal and Compliance teams on regulatory exams (FINRA/SEC) and communication.
Ensure that operational processes (trade processing/settlement/clearing) are accurately reconciled to the accounting general ledger and comply with regulatory requirements.
Communicate with Senior management in identifying and resolving Broker-Dealer issues.
Provide support for all tax filings and annual audits.
Requirements
5+ years’ experience at Self-Clearing Broker-Dealer in Finance and Accounting functions.
5+ years’ experience as Broker-Dealer FINOP (Series 27 Required).
Experience with Self Clearing Firm financial operations and reporting, Stock loan/conduit/Fully paid, business lines.
Revenues recognition for multiple asset classes (Equities, Options).
An understanding of financial reporting systems, procedures, and internal controls.
Strong organizational skills, attention to detail and prioritization capabilities.
Demonstrated ability to manage multiple projects and adapt to change.
Strong analytical, critical-thinking and problem-solving skills.
Ability to effectively communicate and interact with all levels of management and work in a team-oriented environment.
CompensationCompensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience.
Location: New York and New Jersey
#J-18808-Ljbffr