Posted: 8 June
The role
Job Description
Serve as the designated Financial and Operations Principal (FinOp)Oversee all broker-dealer financial reporting, including FOCUS filingsEnsure compliance with SEC, FINRA, and applicable regulatory standardsManage net capital calculations and liquidity requirementsLead annual audits and act as primary liaison with external auditorsImplement and maintain internal controls, policies, and proceduresOversee general ledger, financial statements, and budgeting processProvide strategic financial insights to executive leadershipCoordinate regulatory examinations and inquiriesSupervise finance and accounting team members
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