Finance Accountant and Risk Analyst

Finance Accountant and Risk Analyst

$85,000 - $100,000 or more based on experience, plus annual bonus opportunities.

Company Overview:
Join a well-respected minority investment bank and institutional brokerage firm in Orange County.
We are a Service-Disabled Veteran-Owned company located in Irvine, CA.
We provide investment banking services for primary debt and equity capital market transactions and offer superior execution for institutional clients focused on domestic and international equities, and more.
As a growing small business, we offer personal and professional growth opportunities.

Benefits:

• 401(k)
• Medical
• Dental
• Vision
• Life Insurance
• Employee Assistance Program (EAP)

Role You Will Play:

We are seeking a Finance and Risk Analyst to join our firm. In this role, you will perform a variety of general accounting duties, including AR/AP, and additional responsibilities may include financial analysis, compliance, and operations projects, as assigned. You will also assess potential clients' creditworthiness, conduct reviews of existing customers, and develop enhanced procedures for assessing risk.

Responsibilities:

• Reconciling sub-ledgers to general ledger account balances.
• Preparing financial statements, journal entries, and account reconciliations.
• Assisting with the preparation of regulatory filings.
• Supporting month-end and year-end close.
• Reconciling clearing broker transaction activity and account balances.
• Maintaining and reconciling fixed asset and facility lease schedules.
• Assessing internal controls, including risk assessments and review of risk areas.
• Assisting with budget preparation and preparing monthly budget variance analyses.
• Assess the creditworthiness of new and existing customers by analyzing financial statements, credit reports, and other relevant information.
• Monitor and review customer credit accounts regularly to identify potential risks or credit limit adjustments.
• Develop and implement credit risk management strategies and policies.
• Identify and analyze trends and patterns related to credit risk and provide recommendations for mitigating potential risks.
• Assist with data capture, API integrations, and file management related to trade activity.
• Create, maintain, and enhance reports used for management, accounting, and regulatory compliance (FINRA, SEC, MSRB, NFA).

Background Profile:

• 2+ years of experience in general accounting.
• 2+ years of finance data analysis within a financial institution: broker-dealer, investment advisory, investment banking, real estate investment, banking or similar industry.
• Familiarity with risk management, credit monitoring within the finance industry.
• Proficiency in MS Office, especially Excel.
• Familiarity with securities regulations, including SEC, FINRA, and margin reporting requirements.
• Familiar with Instinet, Bloomberg TOMS & CMGR.
• Bachelor's degree in finance, accounting, or business administration. An advanced degree or professional certification is preferred but not required.