Assistant Vice President, Regulatory Accounting

Assistant Vice President, Regulatory Accounting

Wedbush Securities is one of the largest securities firms andinvestment banks in the nation. We provide innovative financialsolutions through our Wealth Management, Capital Markets, Futures andAdvanced Clearing & Prime Services divisions. Headquartered in LosAngeles, California with over 100 offices and more than 80correspondent offices, our commitment to providing relentless,customized service is the foundation of our consistent growth.

Our growing Accounting team is seeking an Assistant Vice President,Regulatory Accounting, to oversee and ensure financial regulatorycompliance across multiple broker‑dealer entities.

Responsibilities include but are not limited to:

• Oversee and manage regulatory accounting activities for newlycreated broker-dealer
• Manage the preparation of Customer Reserve 15c3-3 and Net Capital15c3-1 computations, FOCUS Reports, and other regulatory filings
• Review and audit daily, weekly, monthly, quarterly, and annualCapital Reporting, Customer and PAB reserve computation
• Audit and analyze Balance Sheet and P&L for regulatory filings
• Manage relationships with regulators (FINRA and SEC) by analyzing,researching and responding to inquiries
• Coordinate with Futures regulatory counterparts to ensure promptand accurate responses to inquiries from Futures regulators (CFTCand CME)
• Research, evaluate, and enhance written regulatory accountingpolicies and procedures to ensure accuracy and compliance
• Lead and manage initiatives to implement regulatory accountingbest practices and process improvements
• Serve as a key liaison with internal and external financial andregulatory auditors
• Partner cross‑functionally with departments across the firm toprepare regulatory filings and maintain ongoing regulatory compliance
• Audit departmental data and documentation to validatecompleteness, adequacy, and accuracy
• Train, mentor, and provide ongoing guidance to regulatoryaccounting staff
• Perform other duties as required and assigned

Experience and Skills

• Bachelor’s degree required, preferably for Business or Economicswith a concentration in Accounting or Finance
• Minimum of 5 years of regulatory accounting and reportingexperience within a broker-dealer environment
• Extensive FINRA experience, including deep knowledge of Rules15c3-1 and 15c3-3
• FINRA Series 27 required, or willingness to obtain
• Proficiency with the Broadridge Processing System (BPS) forregulatory data processing preferred
• Exceptionally detail-oriented with a strong focus on accuracy and compliance
• Excellent communication and presentation skills, with the abilityto engage effectively across departments and organizational levels
• Strong analytical skills with the ability to interpret complexregulatory and financial information

What We Offer

As part of our overall compensation package, Wedbush Securitiesoffers an array of diverse benefits to all our colleagues. We believethat providing competitive benefit options yields the advantageousreward of establishing a healthy and inclusive foundational work culture.

• Comprehensive medical, dental, and vision coverage with multiplehealth plan options for you and your family
• Health Savings Account with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• 401(k) plan with discretionary, competitive company matching andprofit-sharing contributions
• Tuition reimbursement up to $5,250/year
• 3 weeks of Paid Time Off
• 2 weeks of Paid Sick Time (may vary by location)
• 10 Paid Holidays
• Charitable Donation Matching Contributions
• Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer TimeOff, Disability, etc.)
• FINRA License Sponsorship
• Travel & Employee Assistance and Employee Discount Programs

The reasonable estimate of the compensation range for this role hasnot been adjusted for the applicable geographic location. A reasonableestimate of the current range is $126,000 to $166,000. Colleagues maybe eligible for additional, discretionary incentive compensation basedon the colleague's and the firm's performance. Decisions regardingcompensation are determined on a case-by-case basis and are dependenton a variety of factors including but not limited to skill sets;experience and training; licensure and certifications; and otherbusiness and organizational needs.

Wedbush Securities (WS) is proud to be an Equal EmploymentOpportunity employer. WS does not discriminate based on race,religion, color, creed, sex, sexual orientation, gender, genderidentity or expression, national origin, ancestry, citizenship status,registered domestic partner status, uniform service member status,marital status, pregnancy, age, medical condition, disability, geneticinformation, family care or medical leave status, or any otherconsideration made unlawful by applicable federal, state, or locallaws, or on the basis that an applicant or Colleague is perceived tohave these characteristics or is associated with someone who isperceived to have these characteristics. WS aims to foster a cultureof inclusion where all Colleagues are valued for their uniquecontributions to the firm as well as provided equal opportunities to succeed.

Wedbush uses E-Verify, an Internet-based system, to confirm theeligibility of all newly hired employees to work in the United States.Learn more about E-Verify, including your rights and responsibilitieshere

This position is subject to various laws or regulations that imposerestrictions or prohibitions for employment with Wedbush due tocriminal history. Those laws or regulations include but are notlimited to, the following: Securities Exchange Act of 1934 (SEA) Rule17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.