Series 27 Tutor
MT · Remote
$18 - $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 ...
MT · Remote
$18 - $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 ...
MT · Remote
$18 - $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 ...
Northampton, MA · Remote
$18 - $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 ...
Northampton, MA · Remote
$18 - $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 ...
Knoxville, TN · Remote
$18 - $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 ...
Knoxville, TN · Remote
$18 - $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 ...
Madison, WI · Remote
$18 - $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 ...
Madison, WI · Remote
$18 - $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 ...
Carrollton, TX · Remote
$18 - $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 ...
Carrollton, TX · Remote
$18 - $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 ...
Providence, RI · Remote
$18 - $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 ...
Providence, RI · Remote
$18 - $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 ...
Saint Petersburg, FL · Remote
$18 - $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 ...
Saint Petersburg, FL · Remote
$18 - $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 ...
State College, PA · Remote
$18 - $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 ...
State College, PA · Remote
$18 - $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 ...
Ann Arbor, MI · Remote
$18 - $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 ...
Ann Arbor, MI · Remote
$18 - $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 ...
Irving, TX · Remote
$18 - $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 ...
Irving, TX · Remote
$18 - $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 ...
Somerville, MA · Remote
$18 - $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 ...
Somerville, MA · Remote
$18 - $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 ...
Valparaiso, IN · Remote
$18 - $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 ...
Valparaiso, IN · Remote
$18 - $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 ...
New Rochelle, NY · Remote
$18 - $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 ...
New Rochelle, NY · Remote
$18 - $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 ...
Roswell, GA · Remote
$18 - $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 ...
Roswell, GA · Remote
$18 - $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 ...
Glendale, AZ · Remote
$18 - $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 ...
Glendale, AZ · Remote
$18 - $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 ...
Miami Beach, FL · Remote
$18 - $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 ...
Miami Beach, FL · Remote
$18 - $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 ...
North Las Vegas, NV · Remote
$18 - $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 ...
North Las Vegas, NV · Remote
$18 - $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 ...
Schaumburg, IL · Remote
$18 - $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 ...
Schaumburg, IL · Remote
$18 - $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 ...
Iowa City, IA · Remote
$18 - $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 ...
Iowa City, IA · Remote
$18 - $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 ...
Dekalb, IL · Remote
$18 - $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 ...
Dekalb, IL · Remote
$18 - $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 ...
$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
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.
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.
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.
5.7
Based on 16 frontline employees who took The Breakroom Quiz
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Education
501 - 1,000 Employees
St. Louis, MO, US
2007