Financial and Operations Principal

Jobtailor; Iowa (LA); On-site; USD 140,000 - 210,000; Full time

Job summary

Jobtailor in Urbandale, IA is seeking a senior Financial and Operations Principal to lead the regulated entities finance and operations teams. The role focuses on governance, audits, and robust financial reporting.

You will coordinate the annual Deloitte audit, manage regulatory filings, and drive policy development with the CFO while ensuring strict FINRA/SEC compliance and SOX controls. A hands-on, player-coach leader is required.

Qualifications

• Bachelor’s degree in accounting or related field.
• 10+ years experience as Financial and Operations Principal in a broker-dealer setting.
• Strong understanding of US GAAP.
• Series 27 license.
• CPA preferred but not required.
• Experience as Controller or CFO of a broker-dealer or registered investment advisor.
• Audit experience in public accounting, internal audit, or regulatory examiner.
• Excellent communication skills with senior management and cross-functional stakeholders.
• Detail-oriented, highly organized, and hands-on.

Responsibilities

• Functionally manage finance and operations for regulated entities.
• Develop Urbandale FinOps team with focus on training and growth.
• Coordinate annual financial audit with Deloitte and prepare statements and filings.
• File regulatory documents including FOCUS, SSOI, FORM Custody, Schedule 1, and SIPC.
• Oversee general ledger reconciliations and supporting documentation.
• Address and resolve discrepancies.
• Calculate net capital monthly for MMA Securities.
• Develop accounting and operational policies with the CFO.
• Ensure compliance with FINRA/SEC, SOX controls, and operational excellence.
• Assist the CFO with special projects and new initiatives.
• Report to the Chief Financial Officer.

Skills

Financial Operations Management

Regulatory Compliance

US GAAP Understanding

Series 27 License

Audit Experience

Excellent Communication

Attention to Detail

Highly Organized

Player-Coach Management

Education

Bachelor’s Degree in Accounting

CPA Preferred

Tools

Deloitte Audit Coordination

FOCUS Filing

SSOI Filing

FORM Custody Filing

Schedule 1 Filing

SIPC Filing

Job description

• Functionally manage the finance and operations team for regulated entities


• Manage and develop the Urbandale FinOps team, focusing on training and professional growth


• Manage finance and operations of regulated entities


• Coordinate the annual financial audit with Deloitte, including preparation of financial statements and regulatory filings


• Prepare, review, and file regulatory documents including FOCUS, SSOI, FORM Custody, Schedule 1, and SIPC


• Oversee general ledger reconciliations and supporting documentation


• Address and resolve discrepancies


• Calculate net capital monthly and as needed for MMA Securities


• Develop accounting and operational policies and procedures with the CFO


• Ensure compliance with FINRA/SEC regulations, SOX controls, and operational excellence


• Assist the CFO with special projects and new initiatives


• Report to the Chief Financial Officer

Requirements

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


• 10 years of experience as a Financial and Operations Principal in a broker dealer setting


• Strong understanding of US GAAP


• Series 27 license


• CPA preferred but not required


• Experience as a Controller or CFO of a broker dealer or registered investment advisor


• Audit experience in public accounting, internal audit, or as a regulatory examiner


• Excellent communication skills and ability to interface with senior management and cross-functional stakeholders


• Strong attention to detail and commitment to accuracy


• Highly organized


• Experience in a small team environment requiring player-coach managers


• Willingness to engage in hands‑on tasks

Core Competencies

Demonstrates expertise in finance and operations management for regulated entities, with a strong focus on compliance with FINRA/SEC regulations and US GAAP. Proven ability to lead teams, manage audits, and develop accounting policies while ensuring operational excellence.

Highest-signal resume keywords

• Financial Operations Management


• Regulatory Compliance


• US GAAP Understanding


• Series 27 License


• Audit Experience

Hard Skills

• Financial Statement Preparation


• General Ledger Reconciliation


• Regulatory Document Filing


• Net Capital Calculation


• Accounting Policy Development

Soft Skills

• Excellent Communication


• Attention to Detail


• Highly Organized


• Player-Coach Management

Certifications & Qualifications

• Bachelor’s Degree in Accounting


• CPA Preferred


• Series 27 License

Industry Keywords

• Broker Dealer


• Regulated Entities


• FINRA


• SEC


• SOX Controls

Tools & Technologies

• Deloitte Audit Coordination


• FOCUS Filing


• SSOI Filing


• FORM Custody Filing


• Schedule 1 Filing


• SIPC Filing