Financial Regulatory Analyst

moomoo • Dallas, TX

19h • $60,000 - $90,000 • Onsite

About The Position

The Financial Regulatory Analyst/Accountant position at our brokerage firm involves ensuring compliance with financial regulations and standards specific to brokerage operations. The position will also assist the finance department with various accounting duties such as related reconciliations, journal entries, schedules, or other ad hoc projects. Responsibilities also will include interpreting and implementing regulatory requirements set forth by organizations such as the SEC, FINRA, and other relevant regulatory bodies. This role involves analyzing brokerage transactions, preparing regulatory filings, and ensuring accurate financial reporting in accordance with regulatory guidelines. Strong analytical skills and accounting background, regulatory knowledge, attention to detail, and effective communication abilities are essential for success in this role. This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.

Requirements

• Bachelor’s degree in accounting or similar
• Series 27 or ability to obtain within 6 months.
• 2-3 years Regulatory reporting experience from broker dealer (Preferred)
• 2-3 years experience in CFTC reporting requirements for Futures Commission Merchants (Preferred)
• 2-3 years experience in NMLS reporting related to money transmitter license (Preferred)

Responsibilities

• Assist team with the Customer Reserve and PAB 15c3-3 computations.
• Assist team with Net Capital 15c3-1 calculation and FOCUS reports.
• Assist team with all financial related regulatory filings.
• Collaborate across multiple departments in the organization.
• Assisting in the development of financial statements and reports.
• Support accounting team with monthly journal entries, bank reconciliations, and the closing of each financial period.
• Assist with various financial and regulatory audits.
• Work with internal and external financial and regulatory auditors.
• Assist in maintaining and contributing to control processes and procedures.
• Assist independent audit process and FINRA audit.
• Ad hoc FINRA Reporting – preparation and analysis.
• Cross departmental coordination with daily requirements and projects.
• Contribute to various back office and system implementation projects across the organization.
• Performs other related duties as assigned.

Benefits

• Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
• 401k Employer Contribution: We match your contributions to help you grow your retirement savings
• Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
• Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
• Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level