Finops - Series 27/28 Jobs

FinOPs

Location: Remote first

We are seeking a highly motivated and detail-oriented FINOP Specialistto join our fast-growing investment fintech company. In this role, you will be responsible for managing the technical review of work papers and financial regulatory reports and computations. Input on design, development and improvement of existing internal systems and responding to the challenges commensurate with the changing regulatory environment of financial compliance. Assist in the identification and development of new markets and the product and services to meet the needs of our clients for our several business entities including: broker dealer business and registered investment advisory business, and an entity set up to administer the exempt securities offerings.

Responsibilities

●Preparation and review of financial statements in accordance withGAAP standard reporting standards ;

●Preparation and review of regulatory filings prior to filing with FINRA (Prepare and Review FOCUS, SSOI, Form Custody and SIPC Reports to ensure they agree to underlying financial data and are technically accurate;

●Manage day-to-day operations and relevant clients accounts;

●Prepare and perform various accounting functions to maintain relevant account books and records;

●Monitor andProcess trend analysis reports as applicable;

●Coordinate with other departments within the firm on financial and accounting matters;

●Minimize and implement risk strategies within the relevant entitiesas it relates to their financials. This will include analysis of prior year journal entries and balance sheet analysis;

●Overall operational responsibility of the Regulatory Accounting environment to ensure all filing deadlines are met and appropriate books and records are retained and follow up with regulatory inquiries

●Overall responsibility of the annual FINOP reviews and assessments to ensure timeliness; acceptable level of review; documentation and assessment;

●Coordinate with auditors for year-end adjusting entries;

●Maintain relevant accounting files as required;

●Respond to regulatory inquiries regarding net capital violations and other financial-related questions;

Requirements

●Degree - Bachelor’s Degree in Accounting/Finance

●CPA preferred

●Series 27 and /or 28 required

●Series 7 and 24 strongly preferred (

●Previous experience as a FINOP required, multiple assignments preferred;

●Quickbooks and Excel proficiency;

●Demonstrated ability to perform accounting reviews (prior auditing experience a plus)

●Knowledge/Experience with US GAAP Accounting and Financial Reporting;

●Senior or Supervisory Level Experience working for US Securities Broker/Dealers or Auditing US Securities Broker Dealers for a Public Accounting Firm;

●Working Knowledge of PCAOB Rules for Broker/Dealers;

●Working Knowledge of Net Capital Rules for US Broker Dealers;

●Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.

●Strong understanding of investment and securities laws and regulations

●Excellent written and verbal communication skills Ability to work independently and handle multiple tasks in a fast-paced environment

●Is successful in a fast-paced and complex collaborative environment

●Excellent interpersonal, troubleshooting and communication skills

●Possesses well-developed analytical and project management skills

●Highly organized with the ability to handle multiple tasks and multiple priorities simultaneously.

This person is to begin as outsourced FinOps for starters.

We offer a competitive salary, as well as the opportunity to work with a talented and dynamic team in a fast-paced and exciting industry. If you are passionate about the compliance aspects of the financial industry and are looking for a challenging and rewarding opportunity, we encourage you to apply.

Apply at [email protected] - Send resume with subject “FinOps at Daba”