Finance & Operations Principal - Regulated Broker-Dealer

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

Benefits offered by this job

Hybrid work model

Tuition assistance

401K retirement plans

Job summary

Marsh is seeking an Financial and Operations Principal to lead the FinOps team for MMAS and MMA AM, based in NYC or Urbandale, IA. This hybrid role requires three days in the office weekly and reports to the CFO.

You will coordinate audits, regulatory filings, and management reporting across regulated entities to ensure FINRA/SEC compliance while driving operational excellence. Key focus areas include net capital calculations, policy development, and cross‑department collaboration to support

Qualifications

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

Responsibilities

• Manage and develop the Urbandale FinOps team, focusing on training and professional growth.
• Oversee finance and operations of regulated entities.
• Coordinate the annual financial audit with Deloitte and preparation of financial statements & regulatory filings.
• Prepare and file regulatory documents (FOCUS, SSOI, FORM Custody, Schedule 1, SIPC).
• Review general ledger reconciliations and supporting documentation.
• Calculate net capital monthly for MMA Securities.
• Develop policies to ensure FINRA/SEC compliance with SOX controls.
• Assist CFO with special projects and new initiatives.

Education

Bachelor’s degree in Accounting, Finance, Business Administration, or related field

10 years of experience as a Financial and Operations Principal in a broker dealer setting (US GAAP)

Series 27 license

Job description

Marsh is seeking an Financial and Operations Principal to lead the FinOps team for MMAS and MMA AM, based in NYC or Urbandale, IA. This hybrid role requires three days in the office weekly and reports to the CFO.

You will coordinate audits, regulatory filings, and management reporting across regulated entities to ensure FINRA/SEC compliance while driving operational excellence. Key focus areas include net capital calculations, policy development, and cross‑department collaboration to support