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Finra Series 27 Jobs (NOW HIRING)

DealHub Ltd

Chief Financial Officer

Chicago, IL · On-site

$180 - $280/hr

Lead finance, accounting, treasury, and regulatory reporting for the FCM and broker‑dealer businesses, serving as FinOp of record (FINRA Series 27). * Own daily customer segregation, secured, and ...

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Alpaca

Financial Operations Principal

New York, NY · On-site +1

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 ...

New

U.S. Bank

Regulatory Reporting Manager

Saint Louis, MO · On-site

Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment * CPA or equivalent professional certification * Direct experience with FOCUS filings , net capital ...

US Bank

Regulatory Reporting Manager

Saint Louis, MO · Hybrid

$135K/yr

Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment * CPA or equivalent professional certification * Direct experience with FOCUS filings , net capital ...

US Bank

Regulatory Reporting Manager

Charlotte, NC · Hybrid

$135K/yr

Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment * CPA or equivalent professional certification * Direct experience with FOCUS filings , net capital ...

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How much do finra series 27 jobs pay per year?

As of Jul 17, 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 job?

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 key skills and qualifications needed to thrive in the Finra Series 27 position, and why are they important?

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.

What are some of the primary responsibilities and challenges faced by professionals holding the FINRA Series 27 license?

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.

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Finra Series 27 jobs near you
Infographic showing various Finra Series 27 job openings in the United States as of July 2026, with employment types broken down into 100% Full Time. Highlights an 50% In-person, and 50% Hybrid job distribution, with an average salary of $57,604 per year, or $27.7 per hour.
Chief Financial Officer

Chief Financial Officer

DealHub Ltd

Chicago, IL • On-site

$180 - $280/hr

Other

Posted yesterday

Job description

About the Company

Our client is a well‑established financial services organization with a strong reputation for serving institutional and professional clients with billions in assets under custody. Backed by a financially stable global parent company with a long history of success, the firm is recognized for its commitment to operational excellence, client service, and long‑term growth. To protect the confidentiality of this search, additional details will be shared with qualified candidates as the interview process progresses.

About the Role

The CFO leads all finance, accounting, treasury, and regulatory reporting functions for a dually registered FCM and self‑clearing broker‑dealer. This is a hands‑on executive seat in one of the most regulated environments in financial services: daily, monthly, and quarterly filings; regular examinations; and daily customer segregation and net capital computations.

The CFO serves as Financial Operations Principal (FinOp) of record and acts as strategic partner to the CEO and primary financial liaison to the global parent company. Our client is looking for a strong, resilient leader. Someone who brings energy and new thinking, challenges the status quo, drives automation and technology into every corner of the function, and develops the team beneath them.

Responsibilities
  • Lead finance, accounting, treasury, and regulatory reporting for the FCM and broker‑dealer businesses, serving as FinOp of record (FINRA Series 27).
  • Own daily customer segregation, secured, and net capital computations (CFTC 1.17, SEC 15c3‑1 / 15c3‑3) and ensure accurate, on‑time daily, monthly, and quarterly regulatory filings, including FOCUS and 1‑FR‑FCM.
  • Manage regulatory examinations and relationships across CME (DSRO), NFA, CFTC, SEC, and FINRA — the firm is examined regularly, and clean outcomes are the standard.
  • Lead the annual financial statement audit with the firm's external audit firm from planning through completion.
  • Modernize the function: drive automation, data tools, and process redesign across regulatory reporting, liquidity management, reconciliation, and close.
  • Manage firm liquidity, banking and clearinghouse relationships, and capital planning in coordination with the global parent company.
  • Serve as strategic partner to the CEO on firm strategy, growth initiatives, and the continued buildout of the equities clearing / broker‑dealer business.
  • Report financial results to the parent company and coordinate across U.S. GAAP and group reporting requirements.
  • Lead, develop, and elevate a finance team of five, raise the bar on capability, cross‑training, and succession.
  • Support due diligence and financial review of potential acquisitions and new business initiatives.
Qualifications
  • 10+ years of progressive finance leadership within the futures and/or securities clearing industry, FCM, self‑clearing or correspondent‑clearing broker‑dealer, or closely comparable regulated brokerage environment. Direct industry experience is required; investment banking backgrounds are not a fit for this seat.
  • FINRA Series 27 license (or ability to register immediately) and prior experience serving as FinOp for one or more regulated entities.
  • Deep command of FCM and broker‑dealer regulatory frameworks: segregation, net capital, FOCUS, 1‑FR‑FCM, and the examination practices of CME, NFA, CFTC, SEC, and FINRA.
  • Demonstrated track record of automating or rebuilding finance and regulatory processes technology‑forward by instinct (SQL, VBA, BI/data tools, or equivalent), not by delegation.
  • Experience managing external audit relationships as the client‑side lead.
  • Proven people leadership: hired, developed, and retained high‑performing finance teams.
  • Experience reporting into a global or foreign parent company preferred; comfort operating across time zones and cultures.
  • Exposure to equities clearing and broker‑dealer buildout or expansion strongly preferred.
  • Necessary traits: absolute integrity, strong sense of ownership, resilience and composure under pressure, directness paired with thick skin, energy, initiative, intellectual curiosity, and the drive to continually improve.
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