Series 27 Financial Operations Principal

Job Summary

A company is looking for a Financial Operations Principal.

Key Responsibilities

• Supervise and file FOCUS reports with FINRA and the SEC, ensuring compliance with net capital requirements
• Interpret and apply SEC and FINRA rules, ensuring adherence to regulatory requirements and responding to inquiries
• Design and maintain internal controls, oversee financial operations, and coordinate annual audits

Required Qualifications

• Experience in financial operations and compliance within a broker-dealer environment
• Knowledge of SEC and FINRA regulations, particularly related to net capital and customer protection
• Strong understanding of financial reporting and internal controls
• Experience coordinating audits and liaising with regulatory bodies
• Relevant certifications (e.g., Series 27) preferred