Serve as the designated Financial and Operations Principal (FinOp) for a broker-dealer, providing lead oversight of financial and regulatory operations. You will interface with FINRA and external auditors while ensuring timely and accurate broker-dealer financial reporting, including FOCUS filings. The role is responsible for managing net capital calculations and liquidity requirements and maintaining compliance with applicable SEC, FINRA, and regulatory standards.
You will lead annual audits and act as the primary liaison with external auditors, coordinating responses and supporting documentation as needed. The position will implement and maintain internal controls, policies, and procedures, and oversee core finance functions including the general ledger, financial statements, and the budgeting process. You are expected to deliver strategic financial insights to executive leadership and coordinate regulatory examinations and related inquiries.
To be successful, you will hold an Active Series 27 (FINOP) license and bring experience within a broker-dealer environment, with 8+ years expected. Strong familiarity with SEC and FINRA requirements (including Rule 15c3-1 and Rule 15c3-3), experience with FOCUS reporting and net capital calculations, and strong leadership and team management skills are required. Excellent communication skills and a detail-oriented control and compliance mindset are essential, and prior CFO or senior finance leadership experience is strongly preferred, with experience in introducing broker, clearing, or proprietary trading models and a CPA designation as a plus.