Job Description

A leading firm is seeking a Financial and Operations Officer to oversee financial operations and ensure regulatory compliance within its US Office. The ideal candidate is a detail-oriented financial professional with strong technical expertise, a FINRA Series 27 license, and proven experience in a US broker-dealer environment. Working collaboratively, the new team member will safeguard financial integrity by managing financial reporting, net capital computations, and operational compliance while supporting audits, process improvements, and cross-functional coordination. Salary + Additional Benefits: ~$185,000-$250,000 ~ Variable Cash Bonus + Equity Potential ~ Healthcare Stipend ~ Opportunities for Advancement ~ Certification and Education Assistance ~ Travel to International Offices Location: San Jose, CA Type of Position: Direct Hire Responsibilities: Responsible for preparation, monitoring and review of the following monthly reports: General Ledger, Balance Sheet, Trial Balance, Income Statement, Reconciled Bank Statements, Reconciled Clearing Statements, Commission Reports, Accounts Payable Reports. Prepare Monthly Net Capital Computation in accordance with SEC Rule 15c3-1 for submission to FINRA. Daily Net Capital computation as required by the FINRA and exchange, where applicable for the Company. Participate in the Company’s efforts to design and improve controls and procedures as required. Responsible for preparation and timely filing of monthly FOCUS Reports for submission to FINRA 6. Preparation and timely filing of quarterly SSOI and Form Custody. DTC weekly reporting. File weekly Capital Reporting Form with FINRA where applicable. Weekly Reserve Formula Computations (Customer and PAIB) in compliance with SEC Rule 15c3-3. SEC 17H filings. Calculate annually Fidelity Bond Coverage. Prepare required annual assessments, including but not limited to: SIPC, FINRA. In charge of annual audits and liaise with external auditors for timely audit and regulatory filing, including Compliance Report required by Rule 17a-5. In charge of the Company’s tax matters and regulatory tax filing in US. Assist with process improvement and technology enhancements specific to maintenance of books and records. Maintain ongoing dialogue with the management team and outside accounting firm (to the extent necessary and appropriate). Conduct regular meetings with Senior Management, Compliance, Accounting and Finance Personnel. Perform other miscellaneous and required reporting. Requirements: FINRA Series 27 License (Financial and Operations Principal) – This is a strict requirement Previous experience in a similar capacity within a U.S. broker-dealer environment Strong understanding of regulatory financial reporting frameworks and operational compliance standards Strong problem-solving ability Able to work independently and effectively in a fast-paced environment CPA (Certified Public Accountant), USA preferred Prior experience in carrying and clearing broker-dealer preferred Due to the high volume of applications we typically receive, we regret that we are not able to personally respond to all applications. However, if you are invited to take the next step in the process, you will typically be contacted within one week of submitting your application. #LI-DNI

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