FinOps Lead: Regulatory Reporting & Compliance

Third Party Technologies Inc.; Portland (OR); On-site; USD 85,000 - 115,000; Full time

Job summary

Third Party Technologies Inc. in Portland, Oregon, is seeking a Financial Operations Principal to oversee financial report accuracy and manage compliance for its broker-dealer subsidiary. The ideal candidate will have a strong background in accounting with at least 5 years of experience, specifically within broker-dealers.

You will be responsible for supervising report preparation, maintaining membership operations, and liaising with auditors. Good knowledge of GAAP and regulatory reporting is essential.

A Series 27 license is required. This is a fantastic opportunity for a motivated professional looking to advance their career in the financial industry.

Qualifications

• 5+ years of accounting experience.
• 2+ years of experience in broker-dealer with FOCUS reporting.
• Licenses: Series 27 required; Series 7 and 24 a plus.

Responsibilities

• Final approval for financial reports submitted to regulatory bodies.
• Supervise individuals involved in financial report preparation.
• Manage annual registration renewal for FINRA and states.

Skills

Knowledge of GAAP

Experience with FINRA regulatory knowledge

Effective verbal and written communication skills

Education

Relevant degree in Finance or Accounting

Tools

Xero accounting software

Office applications

G Suite applications

Job description

Third Party Technologies Inc. in Portland, Oregon, is seeking a Financial Operations Principal to oversee financial report accuracy and manage compliance for its broker-dealer subsidiary. The ideal candidate will have a strong background in accounting with at least 5 years of experience, specifically within broker-dealers.

You will be responsible for supervising report preparation, maintaining membership operations, and liaising with auditors. Good knowledge of GAAP and regulatory reporting is essential.

A Series 27 license is required. This is a fantastic opportunity for a motivated professional looking to advance their career in the financial industry.