Vice President, Finance Operations

This is a fully remote position, open to applicants in Arizona, +4 more states.

📋 Description

• Act as the firm's appointed FINOP and uphold responsibilities linked to the Series 27 Financial and Operations Principal registration.

• Ensure continuous compliance with SEC, FINRA, SIPC, and relevant state regulatory obligations.

• Accurately prepare, review, and file FOCUS Reports along with other regulatory submissions in a timely manner.

• Monitor adherence to net capital, reserve, and liquidity requirements.

• Serve as the main point of contact with regulatory bodies, external auditors, and examiners concerning financial and operational issues.

• Supervise broker-dealer accounting records, financial reporting, and general ledger activities.

• Prepare and assess monthly, quarterly, and annual financial statements.

• Evaluate financial performance, capital sufficiency, and operational metrics.

• Offer financial advice and recommendations to senior management.

• Ensure the accuracy and integrity of financial data and regulatory reporting.

• Design, implement, and maintain robust internal controls and supervisory protocols.

• Identify and evaluate operational, financial, and regulatory risks.

• Propose and execute corrective measures to mitigate identified risks.

• Support enterprise risk management initiatives and manage regulatory change efforts.

• Oversee operational processes that facilitate broker-dealer activities.

• Collaborate with Compliance, Legal, Operations, Technology, and Finance departments.

• Assess and improve operational efficiencies while ensuring regulatory compliance.

• Review vendor partnerships, service providers, and clearing arrangements.

• Counsel executive leadership on the financial and operational implications of initiatives, regulatory changes, and strategic opportunities.

• Engage in strategic planning and governance discussions.

• Support business growth initiatives while ensuring compliance with regulatory standards.

⛳️ Requirements

• Active Series 27 (Financial and Operations Principal) license.

• Bachelor’s degree in accounting, finance, business administration, or a related discipline.

• Over 10 years of progressive experience in broker-dealer finance, regulatory reporting, operations, or compliance roles.

• In-depth understanding of SEC, FINRA, SIPC, and broker-dealer regulatory standards.

• Proven experience in preparing FOCUS Reports, net capital calculations, reserve computations, and regulatory submissions.

• Demonstrated history of managing audits, regulatory reviews, and compliance assessments.

• Strong analytical, financial, and risk management capabilities.

• Exceptional verbal, written, and presentation abilities.

• Proven track record of influencing and collaborating with senior leadership teams.

• CPA designation is preferred.

• Experience with insurance-affiliated or retirement-services broker-dealers is preferred.

• Background in an introducing broker-dealer environment is preferred.

• Familiarity with enterprise risk management frameworks and regulatory technology solutions is preferred.

• Experience in leading teams and managing third-party service providers is preferred.

🏝️ Benefits

• Annual bonus.

• Comprehensive medical, dental, and vision insurance starting from the first day of employment.

• 401(k) matching: up to 6% of pay with a 100% employer match on employee contributions.

• 8 weeks of fully paid parental leave.

• 20 days of paid time off along with two floating personal holidays.