Remote VP, Finance Operations & Regulatory Strategy

Socket.dev; New York (NY); On-site; USD 177,000 - 265,000; Full time

Benefits offered by this job

Competitive base salary

Annual Bonus

Comprehensive Benefits Package

401(k) Match up to 6%

Parental Leave: 8 weeks

Paid time off: 20 days + 2 personal

Job summary

Mutual of America Financial Group is seeking a Vice President of Finance Operations (FINOP) to lead regulatory and financial control responsibilities for our broker-dealer arm. The role partners with Compliance, Legal, Finance, and Operations to ensure SEC and FINRA compliance and robust capital management.

The VP FINOP also provides strategic financial guidance to executive leadership and ensures the accuracy and integrity of regulatory reporting and financial data.

Qualifications

• Active Series 27 license and regulatory knowledge are required.
• 10+ years in broker-dealer finance, regulatory reporting, operations, or compliance.
• Strong analytical, financial, and risk management capabilities.
• Excellent verbal, written, and presentation skills.
• Proven ability to influence and collaborate with senior leadership.

Responsibilities

• Regulatory oversight and compliance for SEC, FINRA, SIPC and state regulators.
• Oversee accounting records, financial reporting, and general ledger processes.
• Manage internal controls, risk assessment, and remediation.
• Lead operational processes supporting broker-dealer activities.
• Advise leadership on financial and strategic implications of initiatives.

Skills

Active Series 27 license

10+ years broker-dealer finance/reg

Regulatory reporting

Financial analysis

Communication & presentation

Education

Bachelor’s degree in accounting/finance/business

CPA designation (preferred)

Job description

Mutual of America Financial Group is seeking a Vice President of Finance Operations (FINOP) to lead regulatory and financial control responsibilities for our broker-dealer arm. The role partners with Compliance, Legal, Finance, and Operations to ensure SEC and FINRA compliance and robust capital management.

The VP FINOP also provides strategic financial guidance to executive leadership and ensures the accuracy and integrity of regulatory reporting and financial data.