Financial Principals: Financial Services and Solutions
Compliance Advisers is looking to hire part-time outsourced properly licensed FINOPs for its broker dealer clients who understand the SEC Net Capital Rules and complexities associated with maintaining capital compliance. Our FINOPs are required to stay current with industry and regulatory changes and maintain the expertise to ensure compliance with net capital reporting, correctly and timely file firm FOCUS Reports and secure documentation as well as provide Clients with financial audit support.
Minimum Requirements
Must have passed the appropriate licensing exam to be registered as a Financial and Operations Principal (Series 27 or Series 28 license)
Minimum 3 years experience working as a registered FinOp in a broker dealer within the past 5 years .
Minimum Bachelor’s Degree in Business Administration, Accounting, Finance or related field.
CPA preferred.
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