Senior Regulatory Accountant – Broker Dealer

Our client is a global, prioritary trading firm headquartered in Chicago. The rapidly scaled as an independent proprietary trading firm utilizing its own capital, trading strategies, and risk management methodologies to provide liquidity and hedging opportunities to financial participants, commodity producers and counterparties worldwide. Their affliates include two broker dealers, an introducing broker in commodities, a cryptocurrency market making firm, and several investment advisory firms.

Responsibilities:

• Owning daily and month-end close process for broker-dealer operations of DV Group which include posting journal entries, and reconciling balance sheet accounts.
• Prepare FOCUS reports, regulatory filings, and calculation of regulatory net capital requirement.
• Assist with regulatory audits and annual audits.
• Collaborate closely with our team, auditors, and other key stakeholders to manage and streamline the processes.
• Support the preparation of the annual financial statement schedules.
• Identify areas for operational improvements and establish efficiencies and enhanced reporting.
• Leverage technology to drive continuous improvement of financial accounting processes, reporting, and controls.
• Other ad-hoc financial analyses, as required.

Requirements: 

• 5+ years of accounting experience in a broker-dealer or similar experience
• Bachelor’s degree in Accounting, Finance, or related degree
• Experience working within a G/L system, Microsoft Dynamics preferred
• Advanced Excel knowledge and skills; SQL and/or Python a plus
• A strong desire to partner and collaborate with various teams across the firm
• Excellent communication skills, both written and verbal
• A tech-forward approach to managing day-to-day tasks – we love to automate and make things more efficient and so should you!
• Strong problem solver with the ability to navigate ambiguity and leverage your resources.
• The desire to take ownership of projects and ideas, while being able to identify gaps and other areas of improvement.
• The ability to adapt to a dynamic and ever-changing environment – we are in high growth mode and move quickly to achieve business goals.

Benefits:

• Discretionary bonus eligibility
• Medical, dental, and vision insurance
• HSA, FSA, and Dependent Care options
• Employer Paid Group Term Life and AD&D Insurance
• Voluntary LTD, Life & AD&D insurance
• Flexible vacation policy
• Retirement plan with employer match
• Paid parental leave
• Wellness Programs

Annual compensation range $120K – $150K base + discretionary bonus eligibility