New York Licensed FINOP

Job Summary

Serving as the designated financial and operational principal, the full-time remote Vice President Finance Operations (FINOP) will ensure compliance with regulatory requirements, oversee financial management and reporting, and manage operational risks while collaborating with senior leadership and various departments.

Key responsibilities

• Ensure ongoing compliance with SEC, FINRA, and other regulatory requirements, including preparation and filing of FOCUS Reports
• Oversee accounting records and financial reporting, providing guidance to senior leadership on financial performance and capital adequacy
• Develop and maintain internal controls to identify and mitigate operational, financial, and regulatory risks

Required qualifications

• Active Series 27 (Financial and Operations Principal) license
• Bachelor's degree in accounting, finance, business administration, or a related field
• 10+ years of experience in broker-dealer finance, regulatory reporting, or compliance functions
• Extensive knowledge of SEC, FINRA, and broker-dealer regulatory requirements
• Experience preparing regulatory filings and managing audits and compliance reviews