Financial Operations Lead - FinOp
- Act as the firm's designated Financial and Operations Principal in accordance with FINRA rules
- Oversee the firm's net capital computation, reserve formula calculations, and regulatory liquidity requirements
- Prepare and review FOCUS filings, financial statements, and regulatory reports submitted to FINRA and the SEC
- Ensure compliance with SEC Rule 15c3 1, 15c3 3, and related broker dealer financial responsibility rules
- Manage relationships with external auditors, regulators, and clearing firms
- Maintain and enhance written supervisory procedures related to financial and operational controls
- Monitor internal controls around cash, commissions, expense allocation, and general ledger activity
- Partner with executive leadership on budgeting, forecasting, and strategic financial planning
- Support regulatory examinations and respond to audit and exam inquiries
- Prior experience serving as FinOp, controller, or assistant FinOp at a broker dealer
- Strong working knowledge of FINRA and SEC broker dealer regulations
- Experience within an independent broker dealer environment preferred
- Ability to operate hands on while also advising senior leadership
- Detail oriented with strong judgment and sound regulatory instincts
- Comfortable interacting directly with regulators and auditors
- Active Series 27
- Minimum of 7 to 10 years of broker dealer financial and operational experience
- Bachelor's degree in accounting, finance, or a related field
- CPA a plus but not required
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.