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Finra Series 27 Jobs (NOW HIRING)

ACA Group

FINOP

Pittsburgh, PA · On-site

Interactions with FINRA/SEC regulators are required. * Oversee daily financial operations of the ... Series 27 Skills and Attributes for Success: * Ability to exercise discretion and make independent ...

ACA Group

FINOP

Evanston, WY · On-site

Interactions with FINRA/SEC regulators are required. * Oversee daily financial operations of the ... Series 27 Skills and Attributes for Success: * Ability to exercise discretion and make independent ...

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How much do finra series 27 jobs pay per year?

As of Sep 12, 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 September 2026, with employment types broken down into 1% Internship, 85% Full Time, 11% Part Time, 1% Temporary, and 2% Contract. Highlights an 82% Physical, 4% Hybrid, and 14% Remote job distribution, with an average salary of $57,604 per year, or $27.7 per hour.

Director of Operations | Broker Dealer

Miami, FL • On-site

BTGPactual International
See more jobs at BTGPactual Internationalexternal

Full-time

Re-posted 7 days ago

Job description

About the Role
We are seeking a senior Director / Executive Director of Operations to lead the U.S. Broker-Dealer Operations function. This role is based in Miami, reports directly to the Chief Operating Officer, and will be responsible for overseeing daily operations, leading a cross-regional team, supporting business growth, and maintaining a strong operational control environment.
The ideal candidate has deep experience in U.S. broker-dealer operations, including at least 5 years of self-clearing experience, strong regulatory knowledge, and the ability to operate effectively with senior stakeholders across Wealth Management, Retail, Compliance, Finance, Technology, Risk, and external clearing partners.
Key Responsibilities
  • Lead and manage an Operations team across Miami, Rio de Janeiro, and São Paulo, ensuring strong execution, accountability, and service standards.
  • Oversee daily operational routines, including trade support, settlement, cash movements, transfers, reconciliations, corporate actions, billing, exception management, and issue resolution.
  • Conduct regular team meetings, one-on-ones, feedback sessions, and performance discussions to support employee development and career progression.
  • Serve as a senior escalation point for operational issues, client-impacting matters, breaks, and cross-functional dependencies.
  • Support Wealth Management and Retail businesses by implementing new products, services, platforms, and operational workflows.
  • Translate business requirements into operational procedures, controls, project specifications, and technology enhancement requests.
  • Identify and lead initiatives that improve efficiency, reduce manual processes, strengthen controls, and create operational leverage.
  • Act as a key point of contact with clearing firms, including Pershing and Drive Wealth, as well as custodians, transfer agents, vendors, and other operational partners.
  • Apply self-clearing expertise across trade lifecycle, custody, books and records, reconciliations, regulatory reporting, and clearing-related controls.
  • Partner with Compliance, Legal, Risk, Finance, Technology, and senior management to support audits, regulatory reviews, control enhancements, and strategic initiatives.

Qualifications
  • Minimum of 5 years of self-clearing broker-dealer operations experience required.
  • Strong knowledge of U.S. broker-dealer operations, including clearing, custody, settlement, reconciliations, transfers, cash movements, corporate actions, and operational controls.
  • Prior experience in a senior operations leadership role within a broker-dealer, clearing broker, custodian, or financial services platform.
  • Experience supporting Wealth Management, Retail Brokerage, Digital Brokerage, or similar businesses preferred.
  • Proven ability to manage teams across multiple locations and partner with senior business, technology, compliance, and vendor stakeholders.
  • Strong understanding of operational risk, supervisory controls, regulatory obligations, and broker-dealer infrastructure.
  • Excellent communication, leadership, analytical, and problem-solving skills.
  • Ability to operate in a fast-paced, evolving, and growth-oriented environment.

Licenses
  • FINRA Series 24 required.
  • FINRA Series 27 required.

Location & Compensation
  • Location: Miami, Florida
  • Reporting Line: Chief Operating Officer

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