ACCOUNTING MANAGER

Please note this position is a TEMP role.

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions.

Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

Our Compliance team is seeking a Temporary Electronic Communications Surveillance to join our New York City office. This role will audit Wedbush's electronic communications archival platform while documenting rules and settings.

Please note this is a temporary assignment.

Responsibilities will include, but are not limited to :

• Diagram the workflow of data from Wedbush's systems to the electronic archival platform
• Establish controls with the IT team to ensure that all eligible data is going to the electronic archival platform
• Work with directly with the CCO to deploy training for supervisors on Proofpoint, update attestations and the policy, and issue EVP memos from the supervisors' reviews
• Develop escalation procedures for exceptions identified by supervisors in Proofpoint
• Document the allowed variance of Hearsay usage monthly
• Develop desktop procedures for compliance testing of supervision and the policy
• Work cross functionally with Legal, Human Resources, and the CCO to further define the role of OCC versus the disciplinary committee for electronic communication policy violations
• Perform other tasks and duties as required and assigned

Experience and Skills

• Bachelor's Degree from an accredited university
• Experience in supervision / surveillance experience in a broker-dealer setting required
• Familiarity with Proofpoint or Global Relay
• Strong investigative skills, including familiarity with public records research and database tools
• Demonstrate transaction analysis skills that apply across numerous financial products, business lines and services
• Highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
• Strong analytical, problem-solving, and critical thinking skills
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)

What We Offer

As part of the overall compensation package, Wedbush Securities (WS) offers an array of diverse benefits to our Colleagues.

• Comprehensive medical, dental, and vision coverage with multiple health plan options
• Health Savings Account (HSA) with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• Pre-Tax Commuter Benefits
• 401(k) Plan : competitive discretionary company matching and profit-sharing contributions
• Tuition reimbursement ($5,250 max per year)
• Paid Vacation, Sick Time, Holidays, Volunteer Time Off
• Paid Leave : Parental Bonding, Jury Duty, Military, Disability, etc.
• FINRA and Professional License Sponsorship
• Charitable Donation Matching Contributions
• Travel & Employee Assistance and Employee Discount Programs
• Discretionary compensation based on the colleague's and the firm's performance

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location.

A reasonable estimate of the current range is $60,000-$85,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance.

At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets;

experience and training; licensure and certifications; and other business and organizational needs.

Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics.

WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States.

Learn more about E-Verify, including your rights and responsibilities here https : / / www.e-verify.gov / employees / e-verify-overview