Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers , including ownership of FOCUS reporting , 15c3-3 ...
Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers , including ownership of FOCUS reporting , 15c3-3 ...
As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company's broker dealers. You will report into the Chief Accounting ...
As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company's broker dealers. You will report into the Chief Accounting ...
Managing Director, Broker Dealer FINOP
New York, NY · On-site
$200K - $235K/yr
As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company's broker dealers. You will report into the Chief Accounting ...
Managing Director, Broker Dealer FINOP
New York, NY · On-site
$200K - $235K/yr
As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company's broker dealers. You will report into the Chief Accounting ...
Collaborate with the FINOP to supervise Form 1-FR-IB filings and annual audits. * Partner with the CCO to oversee NFA examinations . Operational Build-Out * Architect the operational backbone for a ...
Collaborate with the FINOP to supervise Form 1-FR-IB filings and annual audits. * Partner with the CCO to oversee NFA examinations . Operational Build-Out * Architect the operational backbone for a ...
Broker Dealer Compliance Officer Remote
Smithtown, NY · On-site +1
$40 - $60/hr
This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators. We love what we do and ...
Broker Dealer Compliance Officer Remote
Smithtown, NY · On-site +1
$40 - $60/hr
This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators. We love what we do and ...
Series 27 Tutor
Winston Salem, NC · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Winston Salem, NC · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
College Park, MD · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
College Park, MD · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Gilbert, AZ · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Gilbert, AZ · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
MO · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
MO · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Grand Prairie, TX · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Grand Prairie, TX · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
New Haven, CT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
New Haven, CT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Stamford, CT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Stamford, CT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Duluth, GA · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Duluth, GA · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Erie, PA · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Erie, PA · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Spanish Fork, UT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Spanish Fork, UT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Provo, UT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Provo, UT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
MT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
MT · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Knoxville, TN · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Knoxville, TN · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Providence, RI · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Providence, RI · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Madison, WI · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Series 27 Tutor
Madison, WI · Remote
$40/hr
Ability to explain SEC Rule 15c3-1 net capital requirements, customer reserve formula, and FOCUS report preparation while preparing compliance professionals for FINOP qualification. * Strategic Test ...
Finop information
See salary details
$24K - $39.1K
0% of jobs
$39.1K - $54.2K
0% of jobs
$54.2K - $69.3K
18% of jobs
$72.5K is the 25th percentile. Wages below this are outliers.
$69.3K - $84.4K
34% of jobs
$84.4K - $99.5K
18% of jobs
$104.5K is the 75th percentile. Wages above this are outliers.
$99.5K - $114.5K
16% of jobs
$114.5K - $129.6K
2% of jobs
$129.6K - $144.7K
3% of jobs
$144.7K - $159.8K
2% of jobs
$159.8K - $174.9K
0% of jobs
$174.9K - $190K
7% of jobs
$24K
$100.7K
$190K
How much do finop jobs pay per year?
As of May 30, 2026, the average yearly pay for finop in the United States is $100,669.00, according to ZipRecruiter salary data. Most workers in this role earn between $72,500.00 and $106,000.00 per year, depending on experience, location, and employer.
What is a Finop job?
A Finop (Financial and Operations Principal) is responsible for overseeing a firm's financial and regulatory compliance, typically in the securities or brokerage industry. They ensure adherence to FINRA and SEC regulations, manage financial reporting, and monitor capital requirements. Finops play a key role in maintaining the financial health of a firm while ensuring all operations align with industry standards.
What are the key skills and qualifications needed to thrive in the Finop position, and why are they important?
To thrive as a Finop (Financial and Operations Principal), you need a strong understanding of broker-dealer financial regulations, accounting principles, and compliance procedures, typically supported by a Series 27 or Series 28 FINRA license. Experience with regulatory reporting systems, financial statement preparation, and tools such as Excel and specialized compliance software is important. Attention to detail, problem-solving ability, and strong communication skills help Finops effectively interact with regulators and internal teams. These skills ensure accuracy in financial reporting, protect the firm from regulatory risk, and support smooth operations in a complex financial environment.
What are the main daily responsibilities of a Finop in a broker-dealer firm?
A Finop is responsible for preparing and reviewing financial statements, ensuring compliance with SEC and FINRA regulations, and submitting regulatory filings such as FOCUS reports on a regular schedule. They work closely with accounting and operations teams to reconcile accounts, address compliance issues, and respond to regulatory inquiries. Finops are also often called upon to implement internal controls and provide guidance on maintaining the firm’s financial compliance. This role requires frequent collaboration with both senior management and external auditors, ensuring the firm’s financial practices meet industry standards and legal obligations.
More about Finop jobs
What cities are hiring for Finop jobs? Cities with the most Finop job openings:
What are the most commonly searched types of Finop jobs? The most popular types of Finop jobs are:
What states have the most Finop jobs? States with the most job openings for Finop jobs include:
What job categories do people searching Finop jobs look for? The top searched job categories for Finop jobs are:
Contractor
Posted 19 days ago
Job description
Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements, and related broker-dealer financial/regulatory obligations.
This engagement will support the organization while they conduct a permanent replacement search.
Responsibilities & Qualifications
Requirements
This engagement will support the organization while they conduct a permanent replacement search.
Responsibilities & Qualifications
- Support broker-dealer regulatory reporting activities within a self-clearing environment
- Prepare, review, and/or sign FOCUS reports
- Support compliance with SEC Rule 15c3-3 and related broker-dealer regulations
- Partner with finance, operations, and compliance stakeholders
- Support regulatory reporting, capital computations, and reserve calculations
- Operate within a fast-paced financial services environment
Requirements
- Strong broker-dealer regulatory reporting experience
- Experience within a self-clearing broker-dealer environment
- Hands-on experience with FOCUS reporting
- Strong understanding of SEC Rule 15c3-3 and related regulatory requirements
- Prior experience signing FOCUS reports strongly preferred
- FINOP licensing/certification background preferred
- Strong financial services and regulatory reporting background