Regulatory Reporting Senior Accountant

Corporate Finance Opportunity in Financial Services

Regulatory Reporting Senior Accountant

Location(s):   Seeking Qualified Candidates in all company locations and 100% remote work from home within the United States

Role Type:     Full time

Salary: $85,000 - $100,000 per year + annual bonus 


Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education. 


Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.  To view more details of what you can look forward to, visit our careers page: 


The Regulatory Reporting Senior Accountant is a hands-on position with significant support and training to ensure success and career growth. This Senior Accountant role works with the FINOP on all broker-dealer matters including FOCUS reports, regulatory reporting, audits, and special projects. Additionally, the Regulatory Reporting Senior Accountant serves as treasury backup.


Regulatory Reporting (Primary):

  • Prepare FOCUS and relate reports
  • Prepare SIPC reports
  • Monitor compliance with FINRA and SEC regulations, including net capital
  • Broker-Dealer net capital monitoring and forecasting
  • Special projects, including mergers & acquisitions, and process improvement

Treasury (Secondary)

  • Bank portal backup, including admin and wire release
  • Cash forecasting

Education Requirements:

  • Bachelor’s Degree in Accounting or Finance from an accredited university is required.

Basic Requirements:

  • Series 27 Financial Operations Principal (FINOP) required. Or obtain within 6 months
  • Working knowledge of FINRA and SEC regulations
  • Ability to work in a fast-paced and dynamic environment
  • Minimum of 3 years’ experience of related work

Preferred Requirements:

  • Public Accounting experience
  • Certified Public Accountant (CPA)
  • Broker-Dealer, multi-entity, Introducing firm experience.
Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.


Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Unqualified Applications

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.