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Brokerage Regulatory Accounting Lead

United States

Summary 

We’re looking for an experienced Brokerage Regulatory Accounting Lead who has experience as a CPA with a sharp eye for detail and a strong command of broker-dealer audits and regulatory accounting. This is not your typical accountant role — it’s a unique opportunity to bring your audit expertise into an internal team where you’ll own financial controls, regulatory filings, and capital reporting for an active trading environment. If you’re a public accounting pro (think RSM, BDO, Grant Thornton) who’s worked with broker-dealer clients and is looking to move in-house, we’d love to connect.

Key Responsibilities 

  • Lead and manage month-end and year-end close processes, with an emphasis on reconciliation and regulatory compliance.
  • Own the preparation and submission of financial reports in line with FINRA, SEC, and NFA standards.
  • Track and report Adjusted Net Capital on a rolling basis.
  • Monitor commission structures, affiliate payouts, and performance-driven revenues.
  • Ensure compliance with regulatory reporting timelines, including FOCUS reports.
  • Maintain and refine accounting policies, internal controls, and documentation processes.
  • Liaise directly with external auditors and regulators to manage examinations and maintain compliance.
  • Reconcile trading activity and fees with a high degree of precision.
  • Analyze financial data and provide insight to support strategic decision-making and forecasting.
  • Stay current with emerging accounting regulations and industry trends specific to broker-dealers and capital markets.

Required Qualifications and Key Competencies

  • Bachelor's degree in Accounting or Finance
  • 5+ years of accounting experience, with at least 2 years within a brokerage, trading firm, or financial services organization
  • CPA designation is ideal.
  • 3–8 years of experience in public accounting (Big 4 or mid-tier firms such as RSM, BDO, Grant Thornton, etc.).
  • Deep understanding of broker-dealer audit frameworks and regulatory reporting (e.g., FOCUS filings).
  • Strong knowledge of SEC, FINRA, and NFA requirements.
  • Experience working with or auditing introducing brokers or proprietary trading firms.
  • Advanced Excel skills; experience with NetSuite a plus.
  • Excellent communication and organizational skills — able to manage up, down, and across functions.
  • High attention to detail and comfort in fast-paced environments.

Bonus Experience 

  • Prior in-house experience within a trading firm, proprietary shop, or broker-dealer.
  • Familiarity with internal control audits (e.g., SOX, SSAE18).
  • Exposure to capital adequacy, risk reporting, and similar functions in financial services.

Company Culture & Perks

  • Topstep is an engaging working environment which ranges from fully remote to hybrid. We foster a culture of collaboration with cameras-on during meetings and a robust Slack environment for communication. 
  • Nine (9) Company-paid Holidays and generous Family Leave. Paid time off is accrued monthly.
  • Competitive 401(k) matching, health, dental, and vision insurance is offered for full time employees 
  • Vacations are encouraged with a bonus for taking 5 consecutive days. Employee referrals are bonused. Topstep offers a food and groceries budget and contributes towards health and wellness.

New Hire Base Salary Range

  • $90,000-$115,000
  • Bonus: This position is eligible for a performance-based bonus as provided by the plan terms and governing documents.
  • The compensation offered will take into account internal equity and may vary depending on the candidate's geographic region, job-related knowledge, skills, and experience among other factors.

Eligibility & Location Restrictions:
We are currently unable to hire candidates residing in the following states: California and Montana. If you are located in one of these states, we encourage you to check back in the future for opportunities as our hiring policies may change.

Equal Opportunity Employer

Topstep is an Equal Opportunity Employer. We are committed to fostering an inclusive environment where all employees and applicants are valued. All qualified candidates will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, age, disability, or veteran status, in compliance with applicable federal, state, and local laws.

Interested in the role? Apply today with your resume and cover letter!

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