Broker Dealer Accountant

: Wealthfront is seeking a Broker Dealer accountant to join the finance and accounting team to support a dynamic and high-growth business. The individual will perform a critical role interacting with senior management as well as external third parties including partners, auditors, and regulators. Broker-Dealer accountant will be responsible for managing monthly close, monitoring general accounting practices, developing accounting controls, and creating a scalable function for Wealthfront Brokerage. You will report to the Deputy CFO of Wealthfront Brokerage, working closely as a partner to the rest of the accounting team and the Chief Operating Officer of Wealthfront Brokerage.

Responsibilities:

• Net Capital Compliance, FOCUS, SSOI, Form Custody, SIPC 6 & 7 reports
• Perform the weekly and monthly 15c3-3 Customer Reserve computation
• Prepare monthly Net Capital computation 15c3-1
• Prepare and file supplemental schedules required by FINRA
• Prepare bank reconciliations and post month end close journal entries for regulatory balance sheet
• Support the annual external audit, FinOp exam and periodic SEC exam
• Assist in the interpretation and the implementation of new rules and regulations
• Prepare and review journal entries, account reconciliations, P&L and balance sheet flux and variance analysis
• Develop and document internal controls, policies, and procedures; ensure proper documentation and record-keeping compliance
• Maintain positive relationships with regulators (including FINRA, SEC) and auditors (E&Y) by analyzing, researching and responding to inquiries in a timely and accurate manner
• Liaison with accounting software, system vendors, and consultants as required and make recommendations as to ways we can automate and enhance our accounting operations through the implementation of new systems

Requirement:

• 2-4 years of relevant experience
• Series 27 required or ability to obtain within 6 months
• BA/BS degree in Finance, Accounting or similar required; CPA is a plus
• Proficiency in Microsoft Suite, NetSuite, Bill.com
• Knowledge of GAAP, including preparation of audited GAAP financial statements
• Knowledge of Customer Protection (15c3-3) and Net Capital (15c3-1) rules
• Experience with multiple subsidiaries, inter-company allocations/eliminations
• Unquestionable ethics
• Shown ability to communicate effectively at all levels of an organization
• Uncompromising attention to detail with the ability to communicate to the level of detail appropriate to the situation and audience
• Ability to problem-solve and actively address issues in a professional and effective manner
• Enthusiasm to apply technology to business processes
• Strong organizational skills and ability to set and meet deadlines in a high paced environment
• Self-starter who regularly takes initiative and can juggle multiple projects while simultaneously demonstrating creativity and judgment
• Takes pride in meeting deadlines and exceeding expectations on quality of output
• Customer-centric business philosophy and team-oriented mindset

Estimated annual salary range: $80,000 - $130,000 USD plus equity and a discretionary bonus. Benefits include medical, vision, dental, 401K plan, generous time off, parental leave, wellness reimbursements, professional development, employee investing discount, and more! Everyone across the financial spectrum deserves to live secure and rewarding lives. In order to successfully serve clients across the United States, the Wealthfront team is focused on hiring team members with a diverse range of backgrounds, experiences and perspectives. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. About Wealthfront Wealthfront started with the ambition to transform the investment advisory business, with the goal to unlock access to high quality investment advice for millions who were underserved by the traditional institutions. We built the first automated investment product that allows you to invest in a personalized portfolio of thousands of companies in seconds for a remarkably low fee; we then expanded into banking which made it remarkably easy for people to automate their finances end-to-end and eliminated the hassle of money management, all of which resulted in attracting more than $50 billion of our client's hard earned savings, created the robo-advisor category and transformed the broader industry. And yet, we have a long way to go to achieve our mission to build a financial system that favors people, not institutions. Wealthfront's vision is to make it delightfully easy to build long-term wealth on your own terms. This vision is more relevant than ever because millions more people are getting into the market early and investing their hard earned savings in a handful of stocks. While this is a great way to start, it is inconsistent with building long-term wealth. We want to empower young investors to expand their horizon, and easily explore and execute on a wider range of investing strategies, make informed investment decisions that are consistent with their values and beliefs while also making it effortless to grow and compound their savings exponentially, that's transformational to their lives and their long-term future. Please review our candidate privacy notice