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Regulatory Accounting VP: FINRA/SEC Compliance
Job in
Pasadena, Los Angeles County, California, 91122, USA
Listed on 2026-08-22
Listing for:
Wedbush
Full Time
position Listed on 2026-08-22
Job specializations:
-
Accounting
Financial Compliance -
Finance & Banking
Financial Compliance
Job Description & How to Apply Below
Wedbush Securities is seeking an Assistant Vice President, Regulatory Accounting, to oversee regulatory accounting across broker‑dealer entities. You’ll manage 15c3-3 and 15c3-1 computations, filings, and reviews, while guiding teams and maintaining strong regulator relationships.
The role requires a Bachelor’s in Business or Economics with Accounting/Finance, at least 5 years of broker‑dealer regulatory accounting experience, FINRA Rule knowledge, and Series 27 (or willingness to obtain).
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