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Financial Operations Principal Jobs (NOW HIRING)

Alpaca

Financial Operations Principal

New York, NY · On-site +1

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 ...

Alpaca

Financial Operations Principal

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 ...

Via

Strategy & Operations Principal

Tulare, CA · On-site

$140K - $185K/yr

... we need a Strategy & Operations Principal who can do three things simultaneously: think ... financial outcomes, team culture, and long-term trajectory. You will be making foundational ...

Via

Strategy & Operations Principal

Tulare, CA · On-site

$140K - $185K/yr

... we need a Strategy & Operations Principal who can do three things simultaneously: think ... financial outcomes, team culture, and long-term trajectory. You will be making foundational ...

Cigna

Principal, Legal Financial Operations

As Director, Legal Financial Operations, you will serve as a trusted advisor to Legal leadership, shaping financial strategy and enabling better decisions through disciplined planning, forecasting ...

Cigna

Principal, Legal Financial Operations

As Director, Legal Financial Operations, you will serve as a trusted advisor to Legal leadership, shaping financial strategy and enabling better decisions through disciplined planning, forecasting ...

Via

Strategy and Operations Principal

Fort Worth, TX

$140K - $185K/yr

As a Strategy and Operations Principal, you will manage a first-of-its-kind, intermodal transit ... Manage the financial performance of the service, including managing P&L, forecasting budgets, and ...

Ohio State University

Financial Operations Analyst - Clinical Research Department:James | Research Scope of Position The ... The department provides support to the Clinical Trials Office (CTO), Principal Investigators (PIs ...

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Financial Operations Principal information

See salary details

$36.5K

$109.4K

$182K

How much do financial operations principal jobs pay per year?

As of Aug 27, 2026, the average yearly pay for financial operations principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

What is a financial operations principal?

Financial Operations Principals, often referred to as FinOps Principals, are professionals responsible for overseeing the financial and operational compliance of broker-dealers and financial firms. They ensure that firms adhere to industry regulations, such as those set by FINRA and the SEC, and manage the accuracy of financial reporting, capital requirements, and internal controls. Typically, they hold the FINRA Series 27 or Series 28 license, enabling them to perform key financial oversight functions. Their role is crucial in maintaining the integrity and financial stability of the organizations they serve.

What skills and qualifications are needed to thrive as a financial operations principal?

To thrive as a Financial Operations Principal, you need a solid background in finance or accounting, experience with regulatory compliance, and often a relevant degree such as a CPA, CFA, or FINRA Series 27/28 license. Familiarity with financial management software, reporting systems, and risk management tools is typically required. Strong analytical thinking, leadership, and attention to detail, combined with excellent communication skills, help distinguish top professionals in this role. These skills ensure accurate financial oversight, regulatory adherence, and the ability to lead teams effectively in complex financial environments.

What are common challenges faced by financial operations principals when coordinating across departments?

Financial Operations Principals often encounter challenges related to aligning financial processes between departments such as accounting, compliance, and operations. These challenges include ensuring timely and accurate data sharing, managing differing priorities, and maintaining consistent communication among teams. Overcoming these obstacles usually requires strong project management skills, a proactive approach to problem-solving, and the ability to foster collaborative relationships. Many organizations support cross-functional meetings and workflow documentation to help streamline these interactions.

What is the difference between Financial Operations Principal vs Financial Analyst?

AspectFinancial Operations PrincipalFinancial Analyst
Required CredentialsBachelor's degree, CPA or CFA often preferredBachelor's degree, CFA or related certifications beneficial
Work EnvironmentStrategic, leadership-focused, cross-departmentalAnalytical, reporting, data-driven
Employer & Industry UsageFinancial services, corporate finance, investment firmsCorporations, banks, investment firms, consulting

The Financial Operations Principal and Financial Analyst roles both require strong financial knowledge and certifications like CPA or CFA. However, the Principal focuses on strategic leadership, overseeing financial operations and guiding teams, while the Analyst concentrates on data analysis, reporting, and supporting decision-making. The Principal role is more senior and involves broader responsibilities, often in leadership and strategic planning, whereas the Analyst role is more technical and detail-oriented.

More about Financial Operations Principal jobs

What job categories do people searching Financial Operations Principal jobs look for?

The top searched job categories for Financial Operations Principal jobs are:

Financial Operations Principal jobs near you
Infographic showing various Financial Operations Principal job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, 1% Temporary, 2% Contract, and 1% Nights. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Financial Operations Principal

Alpaca

New York, NY • On-site, Remote

Full-time

Re-posted 13 days ago

Job description

Who We Are:

Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more.
Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 10 million brokerage accounts.
Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it.
Alpaca is proudly backed by $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.
Our Team Members:

We're a dynamic team of 400+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!
We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.

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
How We Take Care of You:
  • Competitive Salary & Stock Options
  • Health Benefits
  • New Hire Home-Office Setup: One-time USD $500
  • Monthly Stipend: USD $150 per month via a Brex Card

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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