Vice President, Finance Operations
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Job Description
FINOP overseeing broker-dealer regulatory compliance, capital management, and financial operations at Mutual of America Financial Group. Advising executives and managing SEC and FINRA reporting.
Responsibilities:
- Serve as the firm's designated FINOP and maintain responsibilities associated with the Series 27 Financial and Operations Principal registration
- Ensure ongoing compliance with SEC, FINRA, SIPC, and applicable state regulatory requirements
- Prepare, review, and file FOCUS Reports and other regulatory filings accurately and timely
- Monitor compliance with net capital, reserve, and liquidity requirements
- Act as primary liaison with regulatory agencies, external auditors, and examiners regarding financial and operational matters
- Oversee broker-dealer accounting records, financial reporting, and general ledger processes
- Prepare and review monthly, quarterly, and annual financial statements
- Analyze financial performance, capital adequacy, and operational metrics
- Provide financial guidance and recommendations to senior leadership
- Ensure accuracy and integrity of financial data and regulatory reporting
- Develop, implement, and maintain effective internal controls and supervisory procedures
- Identify and assess operational, financial, and regulatory risks
- Recommend and implement corrective actions to mitigate identified risks
- Support enterprise risk management initiatives and regulatory change management efforts
- Oversee operational processes supporting broker-dealer activities
- Collaborate with Compliance, Legal, Operations, Technology, and Finance teams
- Evaluate and enhance operational efficiencies while maintaining regulatory compliance
- Review vendor relationships, service providers, and clearing arrangements
- Advise executive leadership on financial and operational impacts of initiatives, regulatory developments, and strategic opportunities
- Participate in strategic planning and governance discussions
- Support business growth initiatives while ensuring adherence to regulatory requirements
Requirements:
- Active Series 27 (Financial and Operations Principal) license
- Bachelor’s degree in accounting, Finance, Business Administration, or a related field
- 10+ years of progressive experience within broker-dealer finance, regulatory reporting, operations, or compliance functions
- Extensive knowledge of SEC, FINRA, SIPC, and broker-dealer regulatory requirements
- 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
- Proven ability to influence and collaborate across senior leadership teams
- CPA designation preferred
- Experience supporting insurance-affiliated or retirement-services broker-dealers preferred
- Experience within an introducing broker-dealer environment preferred
- Familiarity with enterprise risk management frameworks and regulatory technology solutions preferred
- Experience leading teams and managing third-party service providers preferred
Benefits:
- Annual bonus
- Comprehensive medical, dental, and vision benefits starting day one of employment
- 401(k) match: up to 6% of pay with 100% employer match on employee contributions
- 8 weeks fully paid parental leave
- 20 days paid time off plus two floating personal holidays
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