Phillip Capital - Broker Dealer Accountant

Responsibilities

• Financial Reporting: Prepare and analyze financial statements, including balance sheets, income statements, and cash flow statements, in accordance with Generally Accepted Accounting Principles (GAAP) and industry-specific regulations.
• Transaction Accounting: Record, reconcile, and analyze securities transactions, including investments and other financial activities, ensuring accurate classification and valuation.
• Regulatory Compliance: Monitor and ensure compliance with rules and regulations specific to broker-dealers, including those of the SEC, FINRA, and other relevant regulatory bodies.
• Reconciliation: Perform daily, monthly, and annual reconciliations of brokerage accounts, bank accounts, and other financial records to identify and resolve any discrepancies or issues.
• Audit Support: Assist in the coordination of internal and external audits, providing documentation and explanations, as needed, to auditors and regulatory agencies.
• Process Analysis: Interact with staff across the Firm’s departments to gain insights and make recommendations for improving operational efficiency, profitability, and data integrity.
• Internal Controls: Develop and maintain robust internal controls and procedures to safeguard assets, prevent fraud, mitigate other financial risks, and to ensure accurate financial reporting.
• Software and Systems: Utilize accounting and other software applications, financial systems, and databases to record, track, and analyze financial information.