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Financial Operations Principal Jobs (NOW HIRING)

Alpaca

Financial Operations Principal

New York, NY · On-site +1

The FinOp is a key role in the finance team and responsible for overseeing the company's financial and operational compliance to the SEC's Net Capital Rule (Rule 15c3-1) and Customer Protection Rule ...

New

Zillow Group, Inc.

Sales Operations, Principal

Seattle, WA · On-site +1

$145K - $233K/yr

About the team The Sales Operations Principal is responsible for owning the end-to-end strategy ... This role operates as a strategic partner to Sales, Finance, and executive stakeholders, with ...

Via

Strategy & Operations Principal

Tulare, CA · On-site

$140K - $175K/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

$140K - $175K/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 ...

HUB

Financial Operations Analyst

Winter Park, FL · On-site

FINANCIAL OPERATIONS ANALYST II LEVEL CLASSIFICATION This is a senior-level individual contributor ... the principal functions of this job, the level of knowledge and skill typicallyrequired, and the ...

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 ...

Via

Strategy and Operations Principal

Fort Worth, TX

$125K - $170K/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 ...

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Financial Operations Principal information

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How much do financial operations principal jobs pay per year?

As of Jul 16, 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 are Financial Operations Principals?

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 are the key skills and qualifications needed to thrive as a Financial Operations Principal, and why are they important?

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 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.

What are some 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.
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 July 2026, with employment types broken down into 1% As Needed, 84% Full Time, 13% Part Time, and 2% Contract. Highlights an 91% Physical, 2% Hybrid, and 7% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.
Financial Operations Principal

Financial Operations Principal

Alpaca

New York, NY • On-site, Remote

Full-time

Posted yesterday

Job description

Who We Are:

Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision.

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 9 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 top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.

Our Team Members:

We're a dynamic team of 380+ 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:

This is an opportunity to join a Fintech startup at an exciting time! Become one of the CORE influencers in the company.

The FinOp is a key role in the finance team and responsible for overseeing the company's financial and operational compliance to the SEC's Net Capital Rule (Rule 15c3-1) and Customer Protection Rule (Rule 15c3-3).

The Accounting & Finance team is 100% distributed and remote. This role will be reporting directly to the CFO.

Key Roles and Responsibilities of a Series 27 FinOp:1. Financial Oversight and Reporting
  • Supervise and review and file FOCUS reports (Form X-17A-5) with FINRA and the SEC, typically monthly or quarterly.
  • Monitor net capital levels to ensure the firm maintains the required minimum net capital at all times.
  • Ensure timely filing of financial statements and supplemental reports, including annual audited financials.
  • Oversee financial books and records, including general ledger, trial balance, and subsidiary ledgers.
2. Regulatory Compliance
  • Interpret and apply SEC and FINRA rules, particularly SEC Rule 15c3-1 (Net Capital Rule) and 15c3-3 (Customer Protection).
  • Ensure compliance with Rule 17a-3 and 17a-4 (recordkeeping requirements).
  • Respond to regulatory inquiries and exams by FINRA, SEC, or other regulatory bodies.
3. Internal Controls and Risk Management
  • Design and maintain adequate internal controls to safeguard customer and firm assets.
  • Supervise systems to prevent and detect errors or fraud in financial reporting.
    • Supervision of financial operations reconciliations of firm and customer related bank accounts and back office ledger
    • Partner with Operations and Finance to supervise day-to-day accounting
    • Supervision and/or preparations of source entries and original books and records for Broker-Dealer and ensure all periodic regulatory reporting requirements are met
4. Operational Supervision
  • Oversee clearing and settlement processes, especially for self-clearing or carrying firms.
  • Monitor cash and securities movements to ensure compliance with custody rules.
  • Supervise margin calculations and related risk exposure.
5. Audits and Liaison Work
  • Coordinate the annual independent audit of the firm's financials.
  • Act as liaison to auditors, regulators, and clearing firms on financial and operational issues.
6. Strategic and Managerial Input
  • Advise management on capital adequacy, financing strategies, and the financial impact of new business initiatives.

Who You Are (Must-Haves):

  • 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 preferred
  • Excellent data analysis and reporting skills
  • Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment and dedicated home office with minimal daily direction
  • Must possess the ability to adapt to a changing business and regulatory environment
  • Team orientated with desire to help and support other team members
  • Enjoys challenges and taking ownership of new responsibilities
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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