Financial Operations Principal
AlpacaCore Responsibilities
Supervise and review FOCUS reports with FINRA and the SEC, ensuring timely filing of financial statements. Interpret and apply SEC and FINRA rules, ensuring compliance with recordkeeping requirements. Design and maintain internal controls to safeguard assets and supervise financial operations reconciliations. Oversee clearing and settlement processes, monitor cash and securities movements, and coordinate annual independent audits.
Requirements
Bachelor’s degree in Accounting or Finance, CPA preferred. Must have active FINRA Series 27 license. 7+ years relevant experience in self-clearing financial services. Excellent data analysis and reporting skills with strong attention to detail.
Additional Information
Experience Level
Senior
Employment Type
permanent
Work Mode
Remote