Associate, Accounting

About the position

This role will assume the ownership of accounting and data management related to institutional brokerage transactions for Capital One Securities. Candidates should have the ability to manage priorities and meet deadlines in a fast-paced environment. They should be able to develop strong relationships with key business partners. Additionally, this role will assist in transitioning to an automated accounting and reporting platform. Candidates should possess the ability to identify technology options and drive implementation of automation solutions.

Responsibilities

• Record journal entries and assists with monthly reconciliations and variance review.
• Perform month-end close and financial reporting processes timely and accurately.
• Performs accounts payable oversight including assistance with contract management and coordination with Enterprise Supplier Management teams.
• Review month end trial balances and affiliate balances to ensure reporting accuracy.
• Performs daily trade review and trade reporting.
• Manages ad hoc requests.
• Assists with preparing monthly FINRA FOCUS and quarterly Supplemental Statement of Income (SSOI) reports.
• Prepares and assists with response to audit requests from various regulatory bodies including internal / external auditors, SEC, FINRA, and State of Louisiana.
• Prepares additional regulatory reporting as requested.
• Completes ad hoc financial reporting to internal stakeholders.
• Prepares monthly revenue reporting and analysis across verticals for institutional brokerage transactions.
• Actively engage in and drive results for internal projects and initiatives.
• Assists in coordination of resources and implementation of financial reporting for new equity research sectors and products.
• Assists in implementing infrastructure for new products from a financial reporting and operational perspective.
• Other duties as assigned.
• Ability to obtain Series 99 license within one year of joining the team.

Requirements

• Bachelor's degree in Accounting or Finance or military experience.
• At least one year of accounting or securities industry experience or a combination.

Nice-to-haves

• Financial Industry Regulatory Authority Series 7, 10, 27, 24, 99 or a combination.
• 2+ years of accounting or securities industry experience or a combination.

Benefits

• Comprehensive health benefits.
• Financial benefits including performance-based incentive compensation.
• Inclusive workplace culture.