BROKERAGE ACCOUNTANT I

Job Description: GENERAL FUNCTION: Under general supervision, performs a variety of moderately complex accounting support duties.  Maintains accurate accounting records and assists in preparing financial statements. Assists with reconciliations, reporting and regulatory compliance functions for the broker/dealer.  Provides support to other brokerage accountants.  Responsibilities may include handling confidential brokerage information and must maintain confidentiality.

DUTIES & RESPONSIBILITIES:
I. At the direction of the manager, accurately maintains applicable accounting records and performs accounting functions.a. Preparation of daily entries and monitoring of accounts. Maintains account balancesb. Ensures compliance with SEC, NASD and Generally Accepted Accounting Principals for brokerage accounting
II. Assists in performing month end closing activitiesa. Ensures completion and accuracy of all account reconciliationsb. Ensures all accounting entries and reports are completed timely and accuratelyc. Ensures all entries are made in accordance with SEC, NASD and GAAP requirements
III. Assists in the audit of reconciliations for the broker/dealer's operation functions.a. Audit Fiserv General Ledger account, Fifth Third Securities Clearing account, FIMCO fixed annuity DDA, FIMCO Variable annuity DDA, Fiserv monthly settlement statement, Fifth Third Credits/Write-off Record, Fifth Third Error Record, Fiserv Error account. etc.) for procedural compliance and accuracyb. Audit customer payments process or receipts of payments.  Processes daily settlements with clearing firm.c. Audit vault activity
IV. Participate in special projects as needed. 

SUPERVISORY RESPONSIBILITIES:
None