Silicon Valley Search Group
Sr. Manager of Financial and Operations Principal (FINOP)
Silicon Valley Search Group, San Jose, California, United States, 95199
Sr. Manager of Financial and Operations Principal (FINOP)
Location: San Jose, CA
Overview Senior-level role responsible for accounting, financial reporting, regulatory filings, and related controls for a broker-dealer, ensuring accuracy, timeliness, and compliance with SEC and FINRA requirements.
Responsibilities
Prepare and oversee core monthly financial reports, including general ledger, balance sheet, income statement, and trial balance.
Prepare reconciled bank and clearing firm statements and commission/ accounts payable reports.
Perform monthly and daily Net Capital computations in accordance with SEC Rule 15c3-1.
Ensure weekly Reserve Formula calculations (Customer and PAIB) in compliance with SEC Rule 15c3-3.
Prepare and submit required regulatory filings:
FOCUS Reports (monthly)
Form Custody and SSOI (quarterly)
SEC Rule 17H filings
Weekly DTC and Capital Reporting Forms
Annual SIPC and FINRA assessments
Manage the firm’s annual audit process, coordinating with external auditors to ensure timely and accurate filings, including the Rule 17a-5 Compliance Report.
Oversee U.S. tax filings and compliance.
Support ongoing process improvements, internal controls, and systems enhancements related to books and records.
Maintain consistent communication with internal leadership and external accounting or compliance partners.
Contribute to various ad hoc reporting needs and special projects as assigned.
Qualifications Mandatory Qualifications
Active FINRA Series 27 license (Financial and Operations Principal) – required
Demonstrated experience in a similar FINOP or PFO role within a U.S. broker-dealer
Expertise in SEC Rules 15c3-1 and 15c3-3, and familiarity with FINRA regulatory reporting
Excellent analytical and organizational skills
Ability to work independently in a fast-moving, lean team environment
Certified Public Accountant (CPA, U.S.)
Prior experience at a carrying and clearing broker-dealer
Preferred Qualifications
CPA (U.S.)
Experience in a FINOP or similar role at a broker-dealer
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Management
Industries
Staffing and Recruiting
#J-18808-Ljbffr
Overview Senior-level role responsible for accounting, financial reporting, regulatory filings, and related controls for a broker-dealer, ensuring accuracy, timeliness, and compliance with SEC and FINRA requirements.
Responsibilities
Prepare and oversee core monthly financial reports, including general ledger, balance sheet, income statement, and trial balance.
Prepare reconciled bank and clearing firm statements and commission/ accounts payable reports.
Perform monthly and daily Net Capital computations in accordance with SEC Rule 15c3-1.
Ensure weekly Reserve Formula calculations (Customer and PAIB) in compliance with SEC Rule 15c3-3.
Prepare and submit required regulatory filings:
FOCUS Reports (monthly)
Form Custody and SSOI (quarterly)
SEC Rule 17H filings
Weekly DTC and Capital Reporting Forms
Annual SIPC and FINRA assessments
Manage the firm’s annual audit process, coordinating with external auditors to ensure timely and accurate filings, including the Rule 17a-5 Compliance Report.
Oversee U.S. tax filings and compliance.
Support ongoing process improvements, internal controls, and systems enhancements related to books and records.
Maintain consistent communication with internal leadership and external accounting or compliance partners.
Contribute to various ad hoc reporting needs and special projects as assigned.
Qualifications Mandatory Qualifications
Active FINRA Series 27 license (Financial and Operations Principal) – required
Demonstrated experience in a similar FINOP or PFO role within a U.S. broker-dealer
Expertise in SEC Rules 15c3-1 and 15c3-3, and familiarity with FINRA regulatory reporting
Excellent analytical and organizational skills
Ability to work independently in a fast-moving, lean team environment
Certified Public Accountant (CPA, U.S.)
Prior experience at a carrying and clearing broker-dealer
Preferred Qualifications
CPA (U.S.)
Experience in a FINOP or similar role at a broker-dealer
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Management
Industries
Staffing and Recruiting
#J-18808-Ljbffr