Senior Accounting & Operations Professional jobs in United States
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Rodman & Renshaw · 21 hours ago

Senior Accounting & Operations Professional

positionNYC Metro Area
timeFull-time
remoteOnsite
senioritySenior Level
money$150K/yr - $250K/yr
date7+ years exp

Rodman & Renshaw LLC is a full-service investment bank headquartered in New York City. They are seeking a Senior Accounting & Operations Professional to oversee broker-dealer accounting processes, manage regulatory reporting, and support trade settlement while collaborating with senior management and compliance teams.

Investment Banking

Responsibilities

Oversee daily, weekly, and monthly broker-dealer accounting processes
Manage general ledger, account reconciliations, and monthly and quarterly close
Prepare, review, and support FOCUS reports and other SEC and FINRA regulatory filings
Oversee commission, fee, expense, and accrual processes
Supervise and support trade settlement, clearing, and reconciliation activities
Coordinate with clearing firms, counterparties, and service providers
Maintain books and records in accordance with SEC and FINRA requirements
Manage and track the firm’s warrant and securities portfolios
Support regulatory exams, audits, and information requests
Partner closely with compliance, operations, and senior management on regulatory and operational matters
Assist with process improvements, internal controls, and systems enhancements

Qualification

Broker-dealer accountingSECFINRA rulesFOCUS reportingTrade settlementAdvanced ExcelJudgmentCPACPA trackSeries 27Series 28Attention to detailConfidential information handling

Required

Bachelor's degree in Accounting, Finance, or a related field
7+ years of relevant experience in broker-dealer accounting or financial operations
Strong knowledge of SEC and FINRA rules, including net capital and customer protection rules
Experience with FOCUS reporting and regulatory examinations
Solid understanding of trade settlement, clearing, and T+1 processes
Advanced Excel skills; experience with broker-dealer accounting systems preferred
Strong attention to detail and judgment; ability to handle confidential information

Preferred

CPA or CPA track
Experience as a FINOP, Assistant FINOP, or working closely with a FINOP
Series 27 or Series 28, or ability to obtain

Benefits

Competitive compensation, benefits & bonus eligibility

Company

Rodman & Renshaw

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Rodman & Renshaw LLC (“Rodman") is a full service Investment Bank based in New York City.
dateFounded in 1951
location
New York, NY, US
people-size11-50 employees
web-link
https://www.rodm.com/

Funding

Current Stage
Early Stage
Company data provided by crunchbase