FinOps Principal: Broker-Dealer Compliance & Audit Lead

Marsh; Urbandale (IA); Hybrid; USD 138,000 - 276,000; Full time

Benefits offered by this job

Health benefits

Tuition assistance

401K retirement plan

Job summary

Marsh seeks an experienced Financial and Operations Principal to lead the Urbandale FinOps team and govern finance/ops for two regulated entities in a hybrid role (New York City or Urbandale, IA), requiring in-office presence at least three days per week.

The role reports to the CFO and drives regulatory filings, audits, and policy development in line with FINRA/SEC, with base salary range disclosed and incentive opportunities.

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 with training and growth.
• Oversee finance and operations of regulated entities.
• Coordinate the annual financial audit with Deloitte and prepare financial statements and regulatory filings.
• Prepare and file regulatory documents (FOCUS, SSOI, FORM Custody, Schedule 1, SIPC).
• Review general ledger reconciliations and ensure accuracy.
• Calculate net capital monthly for MMA Securities.
• Develop accounting/operational policies to ensure FINRA/SEC and SOX compliance.
• Assist CFO with special projects and new initiatives.

Skills

Strong communication

Attention to detail

Highly organized

Hands-on leadership

Education

Bachelor’s degree in Accounting/Finance

Job description

Marsh seeks an experienced Financial and Operations Principal to lead the Urbandale FinOps team and govern finance/ops for two regulated entities in a hybrid role (New York City or Urbandale, IA), requiring in-office presence at least three days per week.

The role reports to the CFO and drives regulatory filings, audits, and policy development in line with FINRA/SEC, with base salary range disclosed and incentive opportunities.