Fin & Ops Principal - Broker-Dealer Leader (Hybrid)

Marsh Agency; New York (NY); Hybrid; USD 138,000 - 276,000; Full time

Benefits offered by this job

Health and welfare benefits

Tuition assistance

401(k) retirement plan

Employee assistance programs

Job summary

Marsh Agency seeks an experienced Financial and Operations Principal to oversee finance and operations for MMA Securities LLC and MMA Asset Management LLC in a hybrid NYC/Urbandale setting. Role focuses on regulatory compliance and cross‑functional leadership.

The position reports to the CFO and requires coordinating audits, regulatory filings, and internal management reporting across two offices with a strong emphasis on SOX controls.

Qualifications

• Bachelor’s degree in Accounting, Finance, Business Administration, or related field.
• Minimum 10 years of experience as a Financial and Operations Principal in a broker-dealer setting with US GAAP knowledge.
• Series 27 license required.

Responsibilities

• Manage and develop the Urbandale FinOps team, focusing on training and professional growth.
• Managing finance and operations of regulated entities.
• Coordinate the annual financial audit with Deloitte, including the preparation of financial statements and regulatory filings.
• Prepare, review, and file various regulatory documents, including but not limited to: FOCUS, SSOI, FORM Custody, Schedule 1, and SIPC.
• Oversee the review of general ledger reconciliations and supporting documentation prepared by the FinOps team, ensuring all discrepancies are addressed and resolved.
• Calculate net capital monthly and as needed for MMA Securities.
• Collaborate with the Chief Financial Officer to develop efficient accounting and operational policies and procedures that ensure compliance with FINRA/SEC regulations, with an emphasis on SOX controls and operational excellence.
• Assist the Chief Financial Officer with special projects and new initiatives.

Education

Bachelor’s degree in Accounting/Finance/Business Administration

Tools

Series 27 license

Job description

Marsh Agency seeks an experienced Financial and Operations Principal to oversee finance and operations for MMA Securities LLC and MMA Asset Management LLC in a hybrid NYC/Urbandale setting. Role focuses on regulatory compliance and cross‑functional leadership.

The position reports to the CFO and requires coordinating audits, regulatory filings, and internal management reporting across two offices with a strong emphasis on SOX controls.