FinOP Leader: Regulatory Compliance & Financial Control

Creand Wealth Management (Beta Capital); Miami (FL); On-site; USD 120,000 - 180,000; Full time

Job summary

Creand Wealth Management is seeking an experienced FINOP to join our Miami office (Brickell) and oversee financial and operational compliance for our broker-dealer. The FINOP will be the designated financial principal responsible for financial reporting, net capital, books/records, regulatory filings, and internal controls.

The role requires Series 27/28, GAAP knowledge, and experience with SEC/FINRA regulations, plus bilingual Spanish fluency.

Qualifications

• Bachelor’s degree in Accounting, Finance, Business or related field or equivalent broker-dealer/registered investment advisory experience.
• Active Series 27 and/or Series 28 required; Series 24 preferred.
• 5+ years of brokerage accounting, financial control, or regulatory compliance within a self-clearing or carrying broker-dealer.
• Proficiency with Microsoft Excel and related financial tools.
• Fluent in Spanish for bilingual communications.
• Strong knowledge of FINRA regulations and GAAP accounting standards.

Responsibilities

• Prepare and file FOCUS reports and other Capital and Customer Reserve Formula quarterly filings (Form Custody, SSOI, OBS).
• Oversee daily SEC Rule 15c3-3 reserve formula calculations and custody of customer funds/securities.
• Monitor liquidity constraints and regulatory net capital requirements.
• Ensure proper custody controls and asset possession for regulatory compliance.
• Manage clearing operations, suspense accounts, reconciliations and liquidity workflows.
• Oversee general ledger including payroll and tax filings; manage accounts payable/receivable.
• Coordinate with internal/external auditors and regulatory examiners (FINRA/SEC).
• Prepare annual financial statements and notes; report financials to parent and consolidate LLCs.

Skills

Regulatory reporting

Net capital calculations

GAAP knowledge

Excel proficiency

Attention to detail

Spanish language

Education

Bachelor’s degree in Accounting/Finance

Tools

SAS reporting

Microsoft Excel

Regulatory software

Job description

Creand Wealth Management is seeking an experienced FINOP to join our Miami office (Brickell) and oversee financial and operational compliance for our broker-dealer. The FINOP will be the designated financial principal responsible for financial reporting, net capital, books/records, regulatory filings, and internal controls.

The role requires Series 27/28, GAAP knowledge, and experience with SEC/FINRA regulations, plus bilingual Spanish fluency.