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Associate, Broker-Dealer Financial Operations (FinOps)

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Texas Capital Bank

2021-12-03 16:30:03

Job location Dallas, Texas, United States

Job type: fulltime

Job industry: Real Estate & Property

Job description

Responsibilities:
Assist with the financial and operational management of TCBI Securities, the broker/dealer affiliate of Texas Capital Bank.

Perform duties relating to monthly financial close process for broker-dealer and related activities

Prepare monthly SEC Rule 15c3-1 net capital calculations.

Prepare frequent/as needed customer reserve calculations in compliance with SEC 15c3-3.

Partner with the Operations function to maintain customer accounting records.

Review and ensure compliance with net capital and other regulatory requirements and applicable internal policies and procedures

Understand and remain current with applicable federal and state securities laws and regulations, and rules relating to financial and operational responsibility

Assist with regulatory examinations, audits, and inquiries

Responsible for compliance with applicable financial reporting requirements to be submitted to SEC, FINRA and CFTC

Work with internal FP&A and operational teams to track annual budgets

Qualifications:
Degree in Finance, Accounting or Business; or equivalent years of experience; CPA preferred

3-5 years minimum experience in an accounting role, preferably with a broker-dealer, RIA, or a financial industry audit team

Basic knowledge of Broker-Dealer laws and regulations impacting financial institutions

Understanding of GAAP accounting and ability to perform technical accounting research

Advanced PC system skills including proficiency with Microsoft Word, Excel, PowerPoint, and other reporting systems preferred

Proven ability to partner effectively across all levels of the organization and develop positive working relationships

Demonstrate conceptual thinking and analytical skills

Ability to work independently in a continuously changing environment

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