Senior Financial Analyst - Broker Dealing

Job Description - Broker Dealing- Sr. Financial 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:

- Manage and review month-end journal entries and reconciliations to ensure financial accuracy.

- Oversee monthly bank reconciliations and intercompany activity, resolving variances

- Lead the preparation and review of financial statements and regulatory reports in accordance with GAAP and FINRA/SEC regulations.

- Prepare and monitor broker-dealer net capital calculations.

- Lead the preparation, review, and submission of quarterly FOCUS filings.

- Manage FINRA registration and representative renewal processes.

- Support external audits by preparing documentation and responding to auditor inquiries.

- Oversee the calculation and reconciliation of 12b-1 fees, transaction-based compensation, and other

revenue streams.

- Deliver monthly and quarterly board and management reports.

- Serve as a primary contact for client reporting requests and escalated inquiries.

Required Education and Experience

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

- Minimum of three (3) years of accounting experience; minimum of one (1) year with broker- dealer experience required.

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.

- Strong financial analysis skills.

- Advanced understanding of financial and accounting systems.

- Thorough knowledge of accounting and financial management principles; 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 education and career progression; volunteers for and shows initiative on 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, Adobe Acrobat, and the Internet.