Junior Accounting Professional

Role Description

We are a FINRA-registered broker-dealer seeking a Junior Accounting Professional to join our finance and operations team. This is an in-office role and is well-suited for an early-career accounting professional looking to gain hands-on experience in the securities industry while working closely with senior finance, compliance, and operations professionals.

• Assist with daily, weekly, and monthly accounting processes
• Support general ledger maintenance and account reconciliations
• Assist with monthly and quarterly financial close
• Prepare schedules supporting FOCUS reports and other regulatory filings
• Track commissions, fees, and expense allocations
• Assist with trade settlement and related reconciliation processes
• Coordinate with operations and compliance on broker-dealer reporting requirements
• Support audits, regulatory exams, and information requests
• Maintain accurate books and records in accordance with SEC and FINRA requirements
• Maintain and track the firm’s warrant portfolio

• Bachelor’s degree in Accounting, Finance, or a related field
• 2–5 years of accounting or finance experience
• Strong attention to detail and organizational skills
• Proficiency in Excel
• Ability to handle confidential information with discretion
• Interest in capital markets and the broker-dealer regulatory environment

• Experience at a broker-dealer, investment bank, or financial services firm
• Exposure to FINRA or SEC reporting

• In-office, hands-on training and mentorship
• Direct exposure to broker-dealer accounting and regulatory reporting
• Interaction with senior management
• Competitive compensation, benefits & bonus eligibility
• Compensation:
  Base salary range of $90 – $125K