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Full Time 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 ...

Fidelity Investments

Branch Leader - Katy, TX

Katy, TX · On-site

Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150,000 - $175,000 Base Salary ... Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with ...

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Full Time Finra Series 27 information

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How much do full time finra series 27 jobs pay per year?

As of Aug 17, 2026, the average yearly pay for full time 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 the difference between Full Time Finra Series 27 vs Full Time Finra Series 24?

AspectFull Time Finra Series 27Full Time Finra Series 24
Certifications RequiredSeries 27Series 24
Work EnvironmentFinancial firms, compliance departmentsFinancial firms, compliance departments
Job ResponsibilitiesSupervising and reviewing financial operations, managing complianceSupervising registered representatives, branch office supervision
Industry UsageRegulatory compliance, supervisory rolesBranch supervision, registered representative oversight

The Full Time Finra Series 27 and Series 24 roles both focus on compliance and supervision within financial firms. The Series 27 is more geared towards supervising financial operations and ensuring regulatory adherence, while the Series 24 primarily involves supervising registered representatives and branch offices. Both certifications are essential for compliance professionals, but they serve slightly different supervisory functions within the industry.

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Full Time Finra Series 27 jobs near you
Infographic showing various Full Time Finra Series 27 job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 97% In-person, and 3% 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 3 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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