Remote VP, Finance Operations & Regulatory Compliance

Mutual of America Financial Group; Westchester (IL); Hybrid; USD 160,000 - 230,000; Full time

Benefits offered by this job

Annual bonus

Benefits package starts day one

401(k) match 6%

Parental leave

Paid time off 28 days + 2 personal

Job summary

Mutual of America Financial Group is seeking a Vice President, Finance Operations (FINOP) to lead regulatory reporting, capital management, and financial controls for the broker-dealer. The role partners with senior leadership to ensure regulatory compliance and financial integrity across the enterprise.

The candidate will manage audits, strategic financial planning, and operational risk, while guiding cross-functional teams in finance, compliance, and operations to support growth and regulatory

Qualifications

• Active Series 27 license is required.
• Bachelor's degree in accounting, finance, business administration, or related field.
• 10+ years of progressive experience in broker-dealer finance, regulatory reporting, operations, or compliance.
• Experience preparing FOCUS reports, net capital computations, reserve calculations, and regulatory filings.
• Demonstrated experience managing audits, regulatory examinations, and compliance reviews.
• Strong analytical, financial, and risk management skills.
• Excellent verbal, written, and presentation skills.

Responsibilities

• Provide Regulatory Oversight & Compliance for SEC, FINRA, SIPC and state regulators.
• Serve as FINOP and supervise capital, regulatory reporting, and financial controls.
• Oversee broker-dealer accounting records, financial reporting, and GL processes.
• Prepare and review monthly, quarterly, and annual financial statements.
• Manage risk controls and internal procedures; monitor regulatory requirements.
• Collaborate with Compliance, Legal, Operations and IT to ensure controls.

Skills

Analytical skills

Regulatory knowledge

Leadership

Communication

Education

Bachelor's degree in accounting/Finance/Business

CPA designation

Job description

Mutual of America Financial Group is seeking a Vice President, Finance Operations (FINOP) to lead regulatory reporting, capital management, and financial controls for the broker-dealer. The role partners with senior leadership to ensure regulatory compliance and financial integrity across the enterprise.

The candidate will manage audits, strategic financial planning, and operational risk, while guiding cross-functional teams in finance, compliance, and operations to support growth and regulatory