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Finra Series 27 Jobs (NOW HIRING)

Alpaca

Financial Operations Principal

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 ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with mergers, acquisitions, or strategic transactions. What We Offer * Competitive compensation package.

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$22.5K

$57.6K

$83.5K

How much do finra series 27 jobs pay per year?

As of Aug 21, 2026, the average yearly pay for finra series 27 in the United States is $57,604.00, according to ZipRecruiter salary data. Most workers in this role earn between $38,500.00 and $73,500.00 per year, depending on experience, location, and employer.

What is a Finra Series 27?

A FINRA Series 27 job typically refers to a Financial and Operations Principal (FINOP) responsible for overseeing the financial reporting, recordkeeping, and compliance of a broker-dealer. This role ensures adherence to SEC and FINRA regulations, including maintaining net capital requirements and submitting financial filings. Individuals in this position must pass the Series 27 exam, which tests their knowledge of financial responsibility rules and regulatory requirements.

What are the primary responsibilities and challenges of a Finra Series 27 professional?

Professionals with a FINRA Series 27 license typically oversee financial and operational management for broker-dealer firms, ensuring compliance with regulatory requirements such as financial reporting and net capital rules. One of the key challenges is staying up-to-date with frequent updates to SEC, FINRA, and other regulatory guidelines while maintaining accurate and timely financial records. These roles often require collaboration with compliance departments, senior management, and external auditors. The fast-paced environment and high standards for accuracy mean that attention to detail and adaptability are essential for success in this position.

What are the key skills and qualifications needed for a Finra Series 27?

To thrive in a Finra Series 27 role, you need a strong background in finance or accounting, deep knowledge of SEC and FINRA regulations, and an active FINRA Series 27 license. Familiarity with accounting platforms, compliance monitoring tools, and brokerage back-office systems is usually required. Outstanding organizational skills, attention to detail, and the ability to communicate effectively with auditors and internal teams are highly valued. These competencies are vital to ensure firms remain compliant with financial regulations and accurately report their financial condition.

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Finra Series 27 jobs near you
Infographic showing various Finra Series 27 job openings in the United States as of August 2026, with employment types broken down into 97% Full Time, and 3% Part Time. Highlights an 88% In-person, 6% Hybrid, and 6% Remote job distribution, with an average salary of $57,604 per year, or $27.7 per hour.

Financial Operations Principal

Alpaca

Remote

Full-time

Re-posted 7 days ago

Job description

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

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