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Finop Broker Dealer Jobs (NOW HIRING)

DRW

Broker Dealer Senior Accountant

Chicago, IL · On-site

$110K - $135K/yr

As Broker Dealer Sr Accountant , you will have an opportunity to rapidly develop your accounting ... Monitor daily net capital, work with FINOP and trading desks to manage net capital needs.

Alpaca

Financial Operations Principal

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 ...

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Finop Broker Dealer information

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$25.5K

$66.7K

$117K

How much do finop broker dealer jobs pay per year?

As of Aug 26, 2026, the average yearly pay for finop broker dealer in the United States is $66,677.00, according to ZipRecruiter salary data. Most workers in this role earn between $48,000.00 and $75,000.00 per year, depending on experience, location, and employer.

What is a Finop broker dealer?

A Finop Broker Dealer is a financial professional who serves as the Financial and Operations Principal (FinOp) for a broker-dealer firm, as required by FINRA (Financial Industry Regulatory Authority). The FinOp is responsible for ensuring that the firm complies with financial and regulatory requirements, including maintaining accurate books and records, preparing financial reports, and ensuring sufficient net capital. This role is critical for maintaining the integrity and stability of brokerage operations, as the FinOp acts as the main liaison between the firm and regulatory bodies on financial matters.

What are the key skills and qualifications needed to thrive as a Finop broker dealer?

To thrive as a Finop Broker Dealer, you need a deep understanding of financial regulations, accounting principles, and broker-dealer operations, typically supported by a bachelor’s degree in finance or accounting and FINRA Series 27 or 28 licensure. Proficiency with financial reporting systems, compliance software, and general ledger tools is essential for accurate recordkeeping and regulatory submissions. Strong attention to detail, analytical thinking, and effective communication are vital soft skills for interpreting complex data and collaborating with regulatory bodies and firm leadership. These competencies are crucial to ensure regulatory compliance, maintain financial integrity, and support the overall stability of the broker-dealer firm.

What are some common challenges faced by a Finop in a broker-dealer firm, and how can they be effectively managed?

Finops in broker-dealer firms often face challenges related to maintaining regulatory compliance, managing complex financial records, and staying current with evolving FINRA and SEC requirements. Balancing day-to-day accounting tasks with the need to prepare for audits and regulatory filings can be demanding, especially in dynamic or fast-growing firms. Effective time management, strong attention to detail, and ongoing professional development are key to successfully managing these challenges. Collaboration with compliance officers, senior management, and external auditors is also essential to ensure the firm's financial operations remain robust and compliant.

What is the difference between Finop Broker Dealer vs Compliance Officer?

AspectFinop Broker DealerCompliance Officer
CredentialsFINRA licenses (e.g., Series 7, 24)Certifications like CRCM, CAMS, or FINRA licenses
Work EnvironmentFinancial firms, brokerages, securities firmsFinancial institutions, regulatory agencies, firms
Employer & Industry UsageCommon in brokerage firms, investment banksUsed across financial services, banks, brokerages
Search & Comparison IntentUnderstanding roles in securities complianceEnsuring regulatory adherence in finance

Finop Broker Dealers primarily handle financial operations and compliance within broker-dealer firms, focusing on securities regulations and licensing. Compliance Officers oversee adherence to laws and regulations across financial institutions. While both roles require regulatory knowledge and certifications, Finop Broker Dealers are more involved in operational compliance, whereas Compliance Officers focus on overall regulatory adherence.

More about Finop Broker Dealer jobs

What cities are hiring for Finop Broker Dealer jobs?

Cities with the most Finop Broker Dealer job openings:

What states have the most Finop Broker Dealer jobs?

States with the most job openings for Finop Broker Dealer jobs include:

What job categories do people searching Finop Broker Dealer jobs look for?

The top searched job categories for Finop Broker Dealer jobs are:

Finop Broker Dealer jobs near you
Infographic showing various Finop Broker Dealer job openings in the United States as of August 2026, with employment types broken down into 93% Full Time, 6% Part Time, and 1% Contract. Highlights an 90% Physical, 3% Hybrid, and 7% Remote job distribution, with an average salary of $66,677 per year, or $32.1 per hour.

CFO & FINOP for Broker-Dealer -- Regulatory & Financial Leader (New York)

Manhattan, NY • On-site

Hold Brothers
Investment Banking and Securities Dealing • 11 - 50 employees
Learn more about Hold Brothersexternal

Full-time

Posted 25 days ago

Job description

Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to oversee day-to-day accounting, regulatory reporting and FINOP responsibilities. Reporting to the CEO, you will drive financial controls, tax filings, payroll, reconciliations, and vendor management while ensuring compliance with SEC, FINRA and internal policies.

You will collaborate with senior management to consolidate financial statements and disclosures, supervise accounting teams, and

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