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About the Role

The Vice President, Financial Operations (FINOP) is responsible for ensuring the firm's compliance with all SEC, FINRA, and other regulatory requirements. This role provides strategic oversight of capital management, regulatory reporting, financial controls, and operational risk, partnering closely with senior leadership, Compliance, Finance, Legal, and Operations.

Responsibilities

Serve as the firm's designated FINOP and maintain all responsibilities associated with the Series 27 Financial and Operations Principal registration.
Ensure ongoing compliance with SEC, FINRA, SIPC, and applicable state regulatory requirements.
Prepare, review, and file FOCUS Reports and other regulatory filings accurately and timely.
Monitor compliance with net capital, reserve, and liquidity requirements.
Act as the primary liaison with regulatory agencies, external auditors, and examiners regarding financial and operational matters.
Oversee the broker-dealer's accounting records, financial reporting, and general ledger processes.
Prepare and review monthly, quarterly, and annual financial statements.
Analyze financial performance, capital adequacy, and operational metrics.
Provide financial guidance and recommendations to senior leadership.
Ensure the accuracy and integrity of financial data and regulatory reporting.
Develop, implement, and maintain effective internal controls and supervisory procedures.
Identify and assess operational, financial, and regulatory risks.
Recommend and implement corrective actions to mitigate identified risks.
Support enterprise risk management initiatives and regulatory change management efforts.
Oversee operational processes supporting broker-dealer activities.
Collaborate with Compliance, Legal, Operations, Technology, and Finance teams to ensure effective operational controls.
Evaluate and enhance operational efficiencies while maintaining regulatory compliance.
Review vendor relationships, service providers, and clearing arrangements.
Advise executive leadership on the financial and operational impact of business initiatives, regulatory developments, and strategic opportunities.
Participate in strategic planning and governance discussions.
Support business growth initiatives while ensuring adherence to regulatory requirements.

Requirements

Active Series 27 (Financial and Operations Principal) license.
Bachelor’s degree in accounting, Finance, Business Administration, or a related field.
10+ years of progressive experience within broker-dealer finance, regulatory reporting, operations, or compliance functions.
Extensive knowledge of SEC, FINRA, SIPC, and broker-dealer regulatory requirements.
Experience preparing FOCUS Reports, net capital computations, reserve calculations, and regulatory filings.
Demonstrated experience managing audits, regulatory examinations, and compliance reviews.
Strong analytical, financial, and risk management skills.
Excellent verbal, written, and presentation skills.
Proven ability to influence and collaborate across senior leadership teams.
CPA designation.
Experience supporting insurance-affiliated or retirement-services broker-dealers.
Experience within an introducing broker-dealer environment.
Familiarity with enterprise risk management frameworks and regulatory technology solutions.
Experience leading teams and managing third-party service providers.

Skills

Financial Operations
Regulatory Reporting
Compliance
Capital Management
Financial Controls
Operational Risk
SEC Regulations
FINRA Regulations
SIPC Regulations
Net Capital Computations
Reserve Calculations
FOCUS Reports
Internal Controls
Risk Management
Financial Analysis
Auditing
Team Leadership
Vendor Management

Location

Remote
Hybrid (greater NYC area)

Work Type

Remote
Hybrid

Experience Level

10+ years of progressive experience

Education Level

Bachelor's degree in accounting, Finance, Business Administration, or a related field
CPA designation

Salary/Compensations

Base Salary Range: $176,700 - $265,100
Eligible for annual bonus

Benefits

Competitive base salary
Annual Bonus
Comprehensive Benefits Package (medical, dental, and vision) starting day one
401(k) Match: Up to 6% of pay with 100% employer match
Parental Leave: 8 weeks fully paid
Paid time off: 20 days plus two floating personal holidays

About the Company

Mutual of America Financial Group helps people build assets for greater financial security.
The Company is built upon integrity, excellence, and social responsibility.
Founded in 1945 to provide pension and retirement services to nonprofit organizations.
Now provides services to for-profit companies, governmental entities, Tribal enterprises, institutional investors, and individuals.
Committed to understanding customer needs to help them achieve retirement goals.
Dedicated to bringing talented and motivated people together to help customers achieve a financially secure future.

Equal Opportunity

Mutual of America Financial Group provides equal employment opportunity to all qualified employees and applicants for employment regardless of race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, or any other classification prohibited by applicable law.