Compliance Jobs

Financial Operations Principal; Award-Winning Investment Management Company; New York

By October 14, 2019 No Comments

We are representing an innovative investment management company in their search for a Financial Operations Principal.

Why Join Us:

  • Award winning investment firm with a focus on customer experience
  • 100% year-on-year AUM growth, including capital raised from several of the world’s largest investment firms
  • Fast moving company focused on technology, efficiency and execution to create a best in class FinOp program
  • Business culture built on passion, growth, ambition and inclusion
  • Generous benefits, wellbeing and perks package

Expectations first 12 months:

  • Conduct review of current FinOp process, identifying areas of improvement
  • Establish and record best practice processes for FinOp function
  • Integrate and establish yourself as a trusted and collaborative colleague across all levels of seniority


  • Reporting to the Chief Compliance Officer, you will be responsible for accounting controls, financial reporting, technical accounting, and accounting functions for the firm’s Broker Dealer
  • Oversee the timely monthly close of the general ledger, consolidation and reporting of financial results, coordination of audits and the establishment and maintenance of accounting policies, including revenue recognition and the development of efficient and effective processes that also support compliance to internal controls
  • Partner with Chief Compliance Officer in identifying and resolving Broker Dealer related financial risk, control and compliance related matters, as well as ensuring the firm is in compliance with net capital requirements
  • Act as a key point of contact for the company’s Broker Dealer regulated legal entity
  • Assist in preparing and filing FOCUS reports, Part IIA, SSOI forms etc. and audited financial statements in accordance with GAAP and FINRA / SEC reporting rules and regulations.
  • Assist with the preparation of management reporting and business and financial analyses/comments to be shared within the management team.
  • Help manage AR and AP functions including invoicing, cash application / payment receipt, bank deposits, and vendor payments
  • Participates in annual financial audits and periodic compliance assessments and examinations
  • Designs, documents and maintains sound accounting policies, processes and systems to ensure optimal controls


  • Extensive experience as a broker-dealer FinOp professional
  • Qualification: Bachelor’s degree in accounting or finance
  • Essential FINRA Licenses: 27
  • You will have at least five years of experience in a relevant industry, during which you will have established strong technical accounting skills and knowledge of GAAP

Application Process for Financial Operations Principal

Qualified professionals are to submit CV to Steve Harrison at:

Published by Conselium Executive Search, the global leader in compliance search.  

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