FinOp Business Controller

SUMMARY: The FinOp plays an important role in ensuring investor protection by being responsible for the firm’s compliance with applicable net capital, record-keeping and other financial and operational rules.  The FinOp responsibilities include: ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned. · Final approval and responsibility for the accuracy of financial reports submitted to any duly established securities industry regulatory body.· Final preparation of such reports.· Supervision of individuals who assist in the preparation for such reports.· Supervision of and responsibility for individuals who are involved in the actual maintenance of the broker dealer’s books and records from which the reports are derived.· Supervision and/or performance of the broker dealer’s responsibilities under all financial responsibility rules promulgated pursuant to the provisions of the Securities Exchange Act of 1934.· Overall supervision of and responsibility for the individuals who are involved in the administration and maintenance of the member’s back office operations.· Any other matter involving the financial and operational management of the broker dealer. LICENSE:· Series 27 license required. EDUCATION & EXPERIENCE:· Bachelor’s Degree (B.A.) from a four-year College or University.· At least five years experience with a broker dealer either in the FinOp or Assistant FinOp role.· MS Office, Excel and MS Word.