Financial Controller, FinOp

Compensation: $230,000 – $250,000 + bonus

We’ve been engaged by a global investment platform to identify an accomplished Financial Controller, Fin Op.

This is an ideal role for a finance professional with deep broker-dealer operational expertise and a strong command of regulatory accounting and FINOP responsibilities
.

You’ll oversee the finance, accounting, and operational infrastructure, driving process improvement, ensuring compliance with SEC, FINRA, and GAAP requirements
, and shaping the firm’s financial and operational strategy.

• Executive-level visibility reporting directly to the CEO.
• Opportunity to shape the firm’s finance and operations infrastructure.
• Broad, hands-on leadership role with end-to-end ownership of financial, regulatory, and operational outcomes.

• Oversee all finance, accounting, and regulatory operations for the firm and its affiliates.
• Lead the preparation and review of FOCUS reports, Net Capital computations, SSOI, Form Custody, and related regulatory filings.
• Collaborate with the CEO and senior leadership on strategic financial initiatives and operational process enhancements.
• Manage financial reporting, GAAP compliance, tax planning, and end-to-end close cycles (month, quarter, year).
• Partner with auditors and regulators to ensure readiness for annual audits and FINRA examinations.
• Maintain and enhance internal controls, accounting systems, and reporting frameworks to support growth.
• Serve as a trusted advisor on capital management, operational risk, and compliance governance.

• Bachelor’s degree in accounting or finance
• CPA preferred;
  Series 27 license required
• 8+ years of experience in finance and operations within an investment banking environment
• Deep understanding of FINRA, SEC, and GAAP reporting requirements.