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Director, Accounting & FINOP

Posted:Jan 30 2017
Company: Vereit
Location: Phoenix, AZ
Job Desctription

RESPONSIBILITIES

  • Compute and prepare daily net capital calculations and reports for regulatory compliance.
  • Prepare and submit all required FOCUS Reports, and other required regulatory reports.
  • Maintain books and records in accordance with FINRA and SEC rules and regulations.
  • Prepare and submit documents and materials for all relevant regulatory inquiries and examinations with the assistance of the CCO and other accounting and legal personnel.
  • Ensure compliance with regulatory financial responsibility rules and regulations.
  • Ensure compliance with regulatory net capital and record-keeping requirements.
  • Work closely with the CCO and accounting personnel to enhance internal accounting procedures and processes, and management reporting tools and reports.
  • Be a point of contact with the Broker-Dealer’s audit/accounting firm for all relevant matters, including the annual audit.

REQUIREMENTS/QUALIFICATIONS

  • CPA Required.
  • Knowledge of US GAAP for Broker-Dealers required.
  • Knowledge of SEC and FINRA regulations required.
  • Series 27 Registered FINOP required.
  • Bachelor’s degree in a financial discipline required, preferably accounting.
  • Minimum five years’ experience in the financial services industry required.
  • Minimum two years’ experience as a practicing Series 27 Registered FINOP required.
  • Strong Excel skills required.
  • Highly detail-oriented and well-organized.
  • Able to multi-task and work effectively with teams that include accounting personnel and personnel from other departments within the organization.
  • Experience with Non-traded REITs preferred.

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