Impress employers and recruiters.
Choose from hundreds of resume examples.
Impress employers and recruiters.
Choose from hundreds of resume examples.
Tailor your resume to this Financial and Operations Principal role.
Rezi rewrites your resume against Marsh McLennan's job description. Free.
Tailor your resume to this Financial and Operations Principal role.
Rezi rewrites your resume against Marsh McLennan's job description. Free.
Don't guess if your resume is good enough.
See how it scores against the Financial and Operations Principal posting at Marsh McLennan — free, in seconds.
Don't guess if your resume is good enough.
See how it scores against the Financial and Operations Principal posting at Marsh McLennan — free, in seconds.
About the Role
Marsh is seeking an experienced professional to join its Controllership team as the Financial and Operations Principal for MMA Securities LLC and MMA Asset Management LLC. This role is responsible for the functional management of finance and operations for these regulated entities, coordinating audits, preparing regulatory reports, and ensuring compliance with FINRA/SEC regulations.
Responsibilities
- Manage and develop the Urbandale FinOps team, focusing on training and professional growth.
- Manage finance and operations of regulated entities.
- Coordinate the annual financial audit with Deloitte, including the preparation of financial statements and regulatory filings.
- Prepare, review, and file various regulatory documents, including but not limited to: FOCUS, SSOI, FORM Custody, Schedule 1, and SIPC.
- Oversee the review of general ledger reconciliations and supporting documentation prepared by the FinOps team, ensuring all discrepancies are addressed and resolved.
- Calculate net capital monthly and as needed for MMA Securities.
- Collaborate with the Chief Financial Officer to develop efficient accounting and operational policies and procedures that ensure compliance with FINRA/SEC regulations, with an emphasis on SOX controls and operational excellence.
- Assist the Chief Financial Officer with special projects and new initiatives.
Requirements
- Bachelor’s degree, ideally in Accounting, Finance, Business Administration, or a related field.
- 10 years of experience as a Financial and Operations Principal in a broker dealer setting.
- Strong understanding of US GAAP.
- Series 27 license.
Skills
- CPA is preferred but not required
- Experience as a Controller or CFO of a broker dealer or registered investment advisor
- Audit experience in public accounting, internal audit, or as a regulatory examiner.
- Excellent communication skills, with the ability to effectively interface with senior management, business leaders, producers, carriers, mutual fund companies, and the FinOps team across two office locations (NYC and Urbandale), as well as with Controllership, Compliance, Legal, and Treasury departments; must be comfortable and confident engaging with colleagues at all levels.
- Strong attention to detail, commitment to accuracy, and highly organized.
- Resilient and persistent in overcoming challenges, demonstrating strong convictions.
- Experience in a small team environment that requires managers to act as player-coaches, with a willingness to engage in hands-on tasks.
Location
- New York City
- Urbandale, IA
Work Type
- Hybrid
Experience Level
- 10 years of experience
Education Level
- Bachelor's degree
Salary/Compensations
- $138,100 to $276,200
Benefits
- Professional development opportunities
- Interesting work
- Supportive leaders
- Vibrant and inclusive culture
- Talented colleagues
- New solutions
- Impact for colleagues, clients and communities
- Range of career opportunities
- Benefits and rewards to enhance well-being
- Health and welfare benefits
- Tuition assistance
- 401K savings and other retirement programs
- Employee assistance programs
About the Company
- Marsh (NYSE: MRSH) is a global leader in risk, reinsurance and capital, people and investments, and management consulting, advising clients in 130 countries.
- With annual revenue of over $27 billion and more than 95,000 colleagues, Marsh helps build the confidence to thrive through the power of perspective.
- For more information, visit marsh.com, or follow us on LinkedIn and X.
Equal Opportunity
- Marsh is committed to embracing a diverse, inclusive and flexible work environment.
- We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law.
- If you have a need that requires accommodation, please let us know by contacting reasonableaccommodations@marsh.com.
- Marsh is committed to hybrid work, which includes the flexibility of working remotely and the collaboration, connections and professional development benefits of working together in the office.
- All Marsh colleagues are expected to be in their local office or working onsite with clients at least three days per week.
- Office-based teams will identify at least one “anchor day” per week on which their full team will be together in person.