Save Job Back to Search Job Description Summary Similar JobsLead financial regulatory oversight for a broker-dealerServe as primary contact for regulatory examinationsAbout Our ClientBroker-dealer and RIA.Job DescriptionRegulatory & Financial OversightMaintain ongoing compliance with applicable financial responsibility regulations and industry requirements.Prepare, review, and submit regulatory filings and financial reports within required deadlines.Monitor capital adequacy, liquidity levels, and related financial metrics, escalating issues when appropriate.Oversee customer asset protection controls and ensure adherence to regulatory safeguarding requirements.Act as the primary liaison during regulatory examinations and inquiries.Accounting & Operational ManagementManage the firm's general ledger, financial statements, accounting records, and reporting processes.Oversee daily financial operations, reconciliations, exception management, and cash controls.Review transaction activity to ensure accuracy and compliance with internal procedures.Coordinate expense management, invoicing processes, and financial governance initiatives.Support tax reporting and other statutory filing requirements.Risk, Controls & GovernanceEstablish and maintain a strong internal control environment across finance and operations.Partner with external auditors on annual audits and regulatory reviews.Monitor third-party service providers, clearing relationships, and outsourced operational functions.Identify operational risks and implement process improvements to strengthen controls and efficiency.Develop and maintain policies, procedures, and supervisory frameworks supporting regulatory compliance.Leadership & Stakeholder ManagementCollaborate with senior management, compliance, legal, and operations teams on strategic initiatives.Provide guidance and oversight to finance and operations personnel.Support business growth while maintaining a robust control and compliance environment.Communicate effectively with regulators, auditors, and internal stakeholders on financial and operational matters.MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.The Successful ApplicantBachelor's degree in Finance, Accounting, Business Administration, or a related discipline.Prior experience serving as a designated FINOP within a regulated broker-dealer environment.Active FINRA Series 27 or Series 28 licence required.Strong knowledge of broker-dealer financial responsibility regulations, capital requirements, and regulatory reporting.Experience preparing regulatory filings, financial statements, and audit documentation.Solid understanding of accounting principles, reconciliations, and operational controls.Previous experience managing finance and operations teams.Familiarity with brokerage, wealth management, or private banking environments.Experience interacting directly with regulators and external auditors.Bilingual English and Spanish communication skills preferred.Strong analytical skills, attention to detail, and ability to operate effectively in a highly regulated environment.Preferred BackgroundBroker-dealer finance and operations leadershipRegulatory reporting and capital managementWealth management or private banking operationsAudit, risk management, and control frameworksThird-party oversight and vendor governanceWhat's on Offer$180,000 - $250,000 base salary.ContactLauren VanManenQuote job refJN-052026-7028821Job summarySectorFinancial ServicesSub SectorAccountancy & FinanceIndustryFinancial ServicesWhereMiamiContract TypePermanentConsultant nameLauren VanManenJob ReferenceJN-052026-7028821
