We are looking for exceptional people...

We are seeking a detail-oriented individual to head up our growing Accounting Department. We provide back-office support of FINRA broker-dealers, handling their financial reporting filings in addition to assisting in year-end audits. The successful candidate will possess an entrepreneurial spirit and a desire to be challenged.

Role will require a strong knowledge of GAAP and ability to research SEC interpretations and how those standards affect company operations and financials.

REQUIREMENTS: CPA with minimum 5 years public Accounting, along with Series 27 FINOP (or must obtain within 60 days of hire). Prior supervisory experience a plus along with experience with non-financial auditing. Some travel required (up to 25%).

We offer a competitive package of benefits including health, dental, 401(k), and other incentives. If interested, please forward a copy of your resume and salary requirements to: hr@regulatorycompliance.com.

Junior Level Requirements:

• Preparation of monthly financial statements including income statement, P&L, Balance Sheet
• Assist with period end close processes including general ledger account analysis and reconciliations, journal entries, revenue and expense accruals and variance analyses
• Preparation of monthly net capital reporting
• Preparation and filing of FOCUS reports
• Field work for certified annual audits
• Preparation of work papers

Junior Level Qualifications:

• B.S. or B.A. in Finance or Accounting
• Expertise with Quickbooks and Excel
• Strong understanding of accounting and financial policies and principles
• Understanding of relationships between financial statements in order to prepare the income statement, balance sheet and statement of cash flow
• Ability to meet strict deadlines - occasional overtime or weekends will be required

Senior Level Requirements:

• On and off-site auditing of broker dealers - travel is mandatory -
  including some overnights
• Four to five years of bank, broker-dealer, auditing, or other relevant experience related to area of responsibility.
• Ability to work independently and with a team.
• Must have a valid drivers license and access to a vehicle
• Excellent decision-making skills.
• Excellent interpersonal and communication skills.

Senior Level Qualifications:

• Knowledge of SEC Rule 17a-5 a must
• Ability to summarize work papers and write up a certified annual audit
• Experience with Lacerte and other auditing applications
• Must have CPA license preferred
• Proficiency with Quickbooks and Excel
• FINRA Series 26 or 27 License very desirable
• Excellent attention to detail

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Junior Level Requirements:

• Prepare clear and concise work papers and reports
• Ability to work independently
• Strong verbal and written skills
• Be able to communicate with upper management
• Act as a courteous, professional representative of our company
• Travel is mandatory and will comprise 80-90% of your time in the New England area
• Must be punctual and reliable

Senior Level Requirements - All of the above plus:

• Serve as Auditor on the higher risk and more difficult assignments
  being knowledgeable of the organization, operations, policies, and procedures (including securities laws and regulations) under which
  broker dealers operate
• Proactively supporting management on the establishment of internal controls, monitoring techniques and risk management,
  making appropriate recommendations and reporting the results of audits
• Addressing material issues with senior management
• Keep abreast of current trends, new developments, and practices in the audit profession. Monitor current trends and new technologies as they apply to area of specialization

Minimum Required Skills or Competencies:

• Four year college degree in accounting, business, or related field or equivalent education and related training
• Four to five years of bank, broker-dealer, auditing, or other relevant experience related to area of responsibility.
• Ability to work independently and with a team.
• Must have a valid drivers license and (your own) car
• Travel is mandatory - including overnight.
• Demonstrates a broad understanding of banking, auditing, and consulting.
• Excellent decision-making skills.
• Excellent interpersonal and communication skills.
• PC literate.

Desired Skills or Competencies:
1. Possess appropriate professional certification such as CIA, CFA, CPA
2. FINRA 7, 24, 27, 66

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Job Requirements:

• Utilize client documents to prepare clear and concise reports as
  requested by the client
• Demonstrate current knowledge of trends, new developments, and
  practices in the audit profession.
• Monitor current trends and new technologies as they apply to area of specialization
• Ability to work independently
• Strong verbal and written skills
• Be able to communicate with upper management
• Act as a courteous, professional representative of our company
• Must be punctual and reliable

Minimum Required Skills or Competencies:

• Demonstrate knowledge of the broker dealers' organization, operations, policies, and procedures (including securities laws and regulations) under which they operate.
• Four to five years of bank, broker-dealer, auditing, or other relevant experience related to investments and finance.
• Ability to work independently and with a team.
• Ability to organize travel schedules and make arrangements so as to complete assignments within required time frames. Travel costs will be included in the contract or per diem rate for the job.
• Excellent decision-making skills.
• Excellent interpersonal and communication skills.
• PC literate.

Desired Skills or Competencies:
FINRA 6, 7, 24, 26, 66

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Junior Level Responsibilities:

• Assisting our clients in understanding and complying with applicable rules and regulations governing broker-dealers
• Alerting and educating our clients on regulatory hot topics
• Ongoing maintenance of clients' Written Supervisory Procedures
• Web CRD filings
• Continuing Education monitoring
• Data analysis and Reporting with Power Point or Publisher
• Assist in the setup of new Broker Dealers
• Must be willing to travel up to 20% - 40%, depending on specific projects

Senior Level Responsibilities:

• Set up new Broker Dealers
• Perform mock FINRA, operational and branch office examinations
• AML Compliance assistance and auditing
• Maintenance of books and records
• Interacting with regulatory agencies and our clients to resolve compliance matters
• Compliance with FINRA advertising policies
• Must be willing to travel up to 20% - 40%, depending on specific projects
• Minimum Required Skills or Competencies:
• Bachelors degree (finance preferred)
• 3-5 years experience working for a broker/dealer
• Customer service experience
• Computer proficient in all Microsoft products
• Strong attention to detail
• Ability to work independently in a fast paced environment
• Proven skill in managing multiple tasks and in establishing priorities

Preferred Skills or Competencies:
FINRA 6, 7, 24, 26, 27 or 28 registrations

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