ZipRecruiter

Log In

1

Executive Finra Series 27 Jobs (NOW HIRING)

Alpaca

Financial Operations Principal

Advise executive leadership on capital adequacy, liquidity, and the financial impact of strategic ... Active FINRA Series 27 (Financial and Operations Principal) license * 7+ years of broker-dealer ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with ... Meaningful executive leadership responsibilities. * Direct exposure to broker-dealer owners ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with ... Meaningful executive leadership responsibilities. * Direct exposure to broker-dealer owners ...

Compliance Exchange Group

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with ... Meaningful executive leadership responsibilities. * Direct exposure to broker-dealer owners ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with ... Meaningful executive leadership responsibilities. * Direct exposure to broker-dealer owners ...

Empower

Executive Planner

$77K - $104K/yr

The Executive Planner serves as the primary financial planning advisor for highly compensated ... Active FINRA Series 63 and Series 65 licenses, or Series 66, required. * State Life Insurance ...

next page

Showing results 1-20

All JobsFinance and Insurance JobsAccounting JobsAccounting Manager JobsExecutive Finra Series 27 Jobs

Executive Finra Series 27 information

See salary details

$30K

$64.5K

$102.5K

How much do executive finra series 27 jobs pay per year?

As of Aug 27, 2026, the average yearly pay for executive finra series 27 in the United States is $64,456.00, according to ZipRecruiter salary data. Most workers in this role earn between $50,000.00 and $75,000.00 per year, depending on experience, location, and employer.

What is the difference between Executive Finra Series 27 vs Financial Operations Manager?

AspectExecutive Finra Series 27Financial Operations Manager
CertificationsFinra Series 27 license requiredTypically no specific license required, but financial certifications preferred
Work EnvironmentRegulatory compliance, securities firms, brokerage firmsFinancial institutions, corporate finance departments
Employer & IndustryBroker-dealers, securities firmsBanks, investment firms, corporations

The Executive Finra Series 27 primarily focuses on regulatory compliance and financial reporting within securities firms, requiring specific licensing. In contrast, a Financial Operations Manager oversees financial processes and operations across various financial institutions without necessarily holding a Series 27 license. Both roles involve financial oversight but differ in regulatory requirements and work environments.

What does an Executive Finra Series 27 allow you to do?

An Executive Finra Series 27 license qualifies individuals to supervise and manage the activities of registered representatives and broker-dealers, including handling compliance, supervision, and operational functions within a financial firm. It is often required for chief financial officers or senior managers overseeing securities operations and requires passing the Series 27 exam. This license enables professionals to take on managerial roles in securities firms and ensure regulatory adherence.
More about Executive Finra Series 27 jobs

What cities are hiring for Executive Finra Series 27 jobs?

Cities with the most Executive Finra Series 27 job openings:

What are the most commonly searched types of Finra Series 27 jobs?

The most popular types of Finra Series 27 jobs are:

What states have the most Executive Finra Series 27 jobs?

States with the most job openings for Executive Finra Series 27 jobs include:

What job categories do people searching Executive Finra Series 27 jobs look for?

The top searched job categories for Executive Finra Series 27 jobs are:

Executive Finra Series 27 jobs near you
Infographic showing various Executive Finra Series 27 job openings in the United States as of August 2026, with employment types broken down into 90% Full Time, 7% Part Time, and 3% Temporary. Highlights an 80% In-person, 7% Hybrid, and 13% Remote job distribution, with an average salary of $64,456 per year, or $31 per hour.

Financial Operations Principal

Remote

Alpaca
See more jobs at Alpacaexternal

Full-time

Re-posted 13 days ago

Job description

Your Role:

Join Alpaca at an exciting stage of growth and play a critical role in safeguarding the financial integrity of our U.S. broker-dealer while helping scale one of the industry's leading fintech platforms.

As our Financial Operations Principal (Series 27 FinOp), you will serve as the firm's designated Financial and Operations Principal, partnering directly with the CFO to oversee regulatory reporting, capital compliance, broker-dealer financial responsibility, and operational controls. You'll help ensure compliance with SEC and FINRA financial responsibility rules while supporting Alpaca's continued growth and expansion.

In this highly visible role, you'll collaborate across Finance, Operations, Compliance, and Engineering to strengthen internal controls, oversee regulatory reporting, and help scale Alpaca's broker-dealer infrastructure while ensuring the firm remains compliant as new products and services are introduced.

Our Accounting & Finance team is fully remote, and this role reports directly to the CFO.

What You'll Do:Financial Reporting & Regulatory Compliance
  • Serve as the firm's designated Financial and Operations Principal (FinOp), ensuring compliance with SEC and FINRA financial responsibility rules
  • Own the preparation, review, and timely filing of FOCUS Reports (Form X-17A-5) and all required regulatory financial filings
  • Monitor and maintain compliance with SEC Rule 15c3-1 (Net Capital Rule) and Rule 15c3-3 (Customer Protection Rule)
  • Ensure timely preparation and filing of monthly, quarterly, and annual financial reports, including audited financial statements
  • Maintain accurate financial books and records, including the general ledger, trial balance, and supporting schedules
Financial Operations Oversight
  • Supervise financial operations, including firm and customer account reconciliations.
  • Oversee source accounting entries and the firm's books and records
  • Partner cross-functionally with Finance, Operations, Treasury, and Compliance to ensure accurate accounting, reconciliations, and operational processes
  • Evaluate the regulatory impact of operational changes, new products, and strategic initiatives
  • Monitor cash and securities movements to ensure compliance with custody and regulatory requirements
  • Oversee margin calculations and related capital impacts
Risk Management & Internal Controls
  • Develop and maintain effective internal controls over financial reporting and regulatory compliance
  • Identify and mitigate operational and financial risks
  • Ensure compliance with SEC Rules 17a-3 and 17a-4 regarding books and records
  • Support process improvements that strengthen operational efficiency while maintaining regulatory compliance
Regulatory & Audit Management
  • Serve as the primary financial liaison for FINRA, the SEC, external auditors, and clearing firms
  • Lead FINRA and SEC examinations, financial audits, and regulatory inquiries
  • Coordinate the firm's annual independent audit and related regulatory reporting
Strategic Leadership
  • Advise executive leadership on capital adequacy, liquidity, and the financial impact of strategic initiatives
  • Partner with senior leadership on new products, operational changes, and business expansion to ensure regulatory readiness
  • Partner with Product and Engineering teams to support regulatory readiness for new products and platform enhancements
  • Help build scalable financial operations that support the company's continued growth

Who You Are (Must-Haves):

  • Bachelor's degree in Accounting, Finance, or a related field
  • Active FINRA Series 27 (Financial and Operations Principal) license
  • 7+ years of broker-dealer financial operations or regulatory accounting experience
  • Experience preparing and filing FOCUS Reports.
  • Strong understanding of broker-dealer accounting, reconciliations, and regulatory reporting
  • Excellent analytical, problem-solving, and organizational skills
  • Exceptional attention to detail and ability to thrive in a fast-paced environment
  • Ability to work independently in a remote environment while partnering effectively across teams
  • Strong knowledge of:
  • SEC Rule 15c3-1 (Net Capital Rule)
  • SEC Rule 15c3-3 (Customer Protection Rule)
  • SEC Rules 17a-3 and 17a-4
  • FINRA financial reporting requirements

Who You Might Be (Nice-to-Haves):

  • CPA designation
  • Experience supporting a self-clearing broker-dealer
  • Experience partnering directly with FINRA, the SEC, external auditors, and clearing firms
  • Experience in a high-growth fintech or startup
  • Experience improving financial operations through automation or process optimization
  • Experience supporting new product launches or business expansion in a regulated broker-dealer environment

Apply