In‑House FinOp & Regulatory Finance Leader

1P284 THE CARLYLE GROUP EMPLOYEE CO., LLC; Ova (KY); On-site; USD 200,000 - 250,000; Full time

Job summary

1P284 THE CARLYLE GROUP EMPLOYEE CO., LLC seeks an experienced FINOP to own all financial responsibility, regulatory reporting, and operating oversight for a FINRA-registered broker-dealer. This role liaises with FINRA and the SEC, ensuring net capital compliance and robust internal controls.

The ideal candidate has 7–10 years in FinOp, strong GAAP knowledge, and a track record of building scalable control environments within large financial institutions.

Qualifications

• Bachelor’s degree required; active FINRA Series27 license mandatory.
• Series99 or Series24 in addition to Series27; CPA or equivalent credential preferred.
• 7–10 years in FinOp/financial or regulatory reporting at a FINRA-registered broker-dealer.
• Strong GAAP knowledge and experience with broker-dealer accounting controls.

Responsibilities

• Own regulatory reporting and net capital compliance under FINRA/SEC rules.
• Manage general ledger, close processes, and financial statements.
• Oversee treasury, cash management, and cash positioning activities.
• Lead transition from outsourced FinOp to in-house operation; implement controls and documentation.
• Coordinate regulatory examinations and respond to inquiries with legal and compliance teams.

Skills

FinOp

Regulatory reporting

GAAP knowledge

Stakeholder management

Operational rigor

Education

Bachelor’s Degree

FINRA Series27

Series99

Series24

CPA license or equivalent

Job description

1P284 THE CARLYLE GROUP EMPLOYEE CO., LLC seeks an experienced FINOP to own all financial responsibility, regulatory reporting, and operating oversight for a FINRA-registered broker-dealer. This role liaises with FINRA and the SEC, ensuring net capital compliance and robust internal controls.

The ideal candidate has 7–10 years in FinOp, strong GAAP knowledge, and a track record of building scalable control environments within large financial institutions.