Taylor Root
Director of Accounting and FinOp, Series 27
Taylor Root, Chicago, Illinois, United States, 60290
Director of Accounting and FinOp, Series 27
Base pay range
$300,000.00/yr - $400,000.00/yr
Location: Chicago, IL (hybrid)
Benefits: medical, dental, vision, retirement plan with match, parental leave, wellness programs
We are partnering with a leading finance firm to recruit a senior finance leader to oversee regulatory and entity-level accounting across U.S. regulated entities. In this role, you will be responsible for ensuring compliance with U.S. regulatory requirements, coordinating with legal, compliance, treasury, and audit functions, and building scalable processes in a high-growth environment.
Why This Opportunity This role offers the unique chance to be the regulatory accounting leader for a high-performing, technology driven organization. You’ll have high ownership, direct access to senior leadership, and the ability to build strong frameworks from the ground up. If you enjoy being at the interface of regulation, accounting, and business strategy, and thrive when solving complex challenges, this is a rare opportunity to lead.
Responsibilities
Lead the preparation, review, and submission of U.S. regulatory filings and returns for regulated entities (monthly / quarterly / annual).
Serve as a subject matter expert and point of contact with external auditors, regulators, and examiners.
Collaborate closely with compliance, legal, treasury, risk, and other back-office functions on capital / net capital, liquidity, funding, clearing deposits, and entity-level structure.
Oversee the preparation of audited financial statements for regulated entities.
Monitor changes in regulatory guidance (SEC, FINRA, etc.), assess impact, and drive implementation of required process changes.
Design, document, and maintain policies, procedures, and internal controls around regulatory accounting and compliance functions.
Partner with business and product teams to evaluate the regulatory impact of new initiatives or legal entity changes.
Lead or contribute to special projects, system improvements, and process automations in the finance/regulatory space.
Requirements
Bachelor’s degree in Accounting, Finance, or related field
8+ years of regulatory accounting, audit, or compliance experience within financial services.
Deep working knowledge of U.S. GAAP, SEC, FINRA rules, and regulatory reporting requirements.
Series 27 certification required.
Proven ability to interpret regulations, propose technical solutions, and execute process changes.
Seniority level Director
Employment type Full-time
Job function Accounting/Auditing and Analyst
Industries Financial Services, Capital Markets, and Investment Management
Benefits
Medical insurance
Vision insurance
401(k)
Child care support
Paid maternity leave
Paid paternity leave
Tuition assistance
Student loan assistance
Disability insurance
#J-18808-Ljbffr
Location: Chicago, IL (hybrid)
Benefits: medical, dental, vision, retirement plan with match, parental leave, wellness programs
We are partnering with a leading finance firm to recruit a senior finance leader to oversee regulatory and entity-level accounting across U.S. regulated entities. In this role, you will be responsible for ensuring compliance with U.S. regulatory requirements, coordinating with legal, compliance, treasury, and audit functions, and building scalable processes in a high-growth environment.
Why This Opportunity This role offers the unique chance to be the regulatory accounting leader for a high-performing, technology driven organization. You’ll have high ownership, direct access to senior leadership, and the ability to build strong frameworks from the ground up. If you enjoy being at the interface of regulation, accounting, and business strategy, and thrive when solving complex challenges, this is a rare opportunity to lead.
Responsibilities
Lead the preparation, review, and submission of U.S. regulatory filings and returns for regulated entities (monthly / quarterly / annual).
Serve as a subject matter expert and point of contact with external auditors, regulators, and examiners.
Collaborate closely with compliance, legal, treasury, risk, and other back-office functions on capital / net capital, liquidity, funding, clearing deposits, and entity-level structure.
Oversee the preparation of audited financial statements for regulated entities.
Monitor changes in regulatory guidance (SEC, FINRA, etc.), assess impact, and drive implementation of required process changes.
Design, document, and maintain policies, procedures, and internal controls around regulatory accounting and compliance functions.
Partner with business and product teams to evaluate the regulatory impact of new initiatives or legal entity changes.
Lead or contribute to special projects, system improvements, and process automations in the finance/regulatory space.
Requirements
Bachelor’s degree in Accounting, Finance, or related field
8+ years of regulatory accounting, audit, or compliance experience within financial services.
Deep working knowledge of U.S. GAAP, SEC, FINRA rules, and regulatory reporting requirements.
Series 27 certification required.
Proven ability to interpret regulations, propose technical solutions, and execute process changes.
Seniority level Director
Employment type Full-time
Job function Accounting/Auditing and Analyst
Industries Financial Services, Capital Markets, and Investment Management
Benefits
Medical insurance
Vision insurance
401(k)
Child care support
Paid maternity leave
Paid paternity leave
Tuition assistance
Student loan assistance
Disability insurance
#J-18808-Ljbffr