Lead FinOp & Regulatory Finance Officer

Carlyle; New York (NY); Hybrid; USD 200,000 - 250,000; Full time

Benefits offered by this job

Retirement benefits

Health insurance

Life insurance

Disability insurance

Paid time off

Paid holidays

Family planning benefits

Wellness programs

Job summary

TCG Capital Markets L.L.C. in New York and Washington, DC, seeks an experienced Financial & Operations (FINOP) lead to own all financial responsibility, regulatory reporting, and operational oversight for the broker-dealer. The role focuses on building an in-house FINOP function with strong governance.

The successful candidate will manage GAAP accounting, net capital, audits, and regulatory filings, working with senior leadership in a high-visibility capacity.

Qualifications

• Bachelor’s Degree required.
• Active FINRA Series 27 license is mandatory.
• Series 99 or Series 24 in addition to Series 27.
• CPA license or equivalent credential preferred.

Responsibilities

• Regulatory & net capital compliance: maintain minimum net capital and file required FINRA/SEC reports.
• Financial reporting & controls: own general ledger, GAAP-compliant close, and coordinate audits.
• Treasury & cash management: manage cash accounts and intercompany funding.
• Operational infrastructure: transition FinOp in-house, implement tech solutions and write procedures.
• Regulatory examinations & inquiries: lead responses during FINRA/SEC examinations.

Skills

Net capital compliance

FINOP

GAAP

FOCUS reports

Regulatory reporting

Education

Bachelor's degree

FINRA Series 27 license

Series 99 or Series 24

CPA license or equivalent

Job description

TCG Capital Markets L.L.C. in New York and Washington, DC, seeks an experienced Financial & Operations (FINOP) lead to own all financial responsibility, regulatory reporting, and operational oversight for the broker-dealer. The role focuses on building an in-house FINOP function with strong governance.

The successful candidate will manage GAAP accounting, net capital, audits, and regulatory filings, working with senior leadership in a high-visibility capacity.