Financial Analyst - Broker Dealing

Job Description - Broker Dealing- Finance Analyst

Client - A leading financial services (Confidential)

Location - Pune

Work Mode : Hybrid Role (3 days per week in the Pune Office/2 days remote)

Work Shift : 12:00PM - 9:00PM IST

Key Duties & Responsibilities

- Prepare journal entries and perform detailed account reconciliations as part of the monthly close process.

- Prepare monthly bank reconciliations and process intercompany transactions.

- Prepare monthly financial statements and regulatory reports in compliance with GAAP and FINRA/SEC regulations.

- Prepare net capital calculations and assist with ongoing monitoring of broker-dealer net capital requirements.

- Prepare and submit quarterly FOCUS filings.

- Process annual FINRA registrations and rep renewals.

- Assist with annual financial statement audit.

- Prepare and reconcile 12b-1 fees, transaction-based compensation, and other revenue streams.

- Prepare and distribute monthly and quarterly board and management reports.

- Serve as a key point of contact for client information requests and reporting needs.

Required Education and Experience

- Bachelor's/Master's degree with a major in accounting or finance preferred.

- Minimum of two (2) years of accounting experience.

- Broker dealer experience is MANDATORY.

- Strong financial analysis skills.

- Advanced understanding of financial and accounting systems.

- Thorough knowledge of accounting and financial management principles.

Required Skills and Attributes

- Ability to exercise discretion and make independent judgments on matters of significance.

- Demonstrated professional integrity.

- Dependable, flexible, and adaptable to new initiatives and changing client needs.

- Ability to work well in a fast-paced, small-team environment.

- Ability to work independently, multi-task, and prioritize effectively.

- Ability to establish and maintain effective working relationships with colleagues and clients.

- Highly motivated and goal oriented; proactive in one's own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.

- Dedicated to upholding high-quality standards and customer service focus.

- Strong organizational and problem-solving skills with attention to detail.

- Strong oral and written communication skills.

- Proficient with Microsoft Office applications and Adobe Acrobat.