Mosaic Partners
Vice President, Financial Operations | Regulatory Reporting (New York)
Mosaic Partners, New York, New York, United States, 10261
Seeking an experienced Vice President, Financial Operations & Regulatory Reporting to be responsible for overseeing the firms broker-dealer financial operations and regulatory reporting obligations. This role requires a hands-on professional with deep knowledge of SEC and FINRA reporting requirements, broker-dealer accounting, and capital rules. The ideal candidate operates independently, manages competing priorities effectively, and ensures accurate, timely regulatory filings in a fast-moving environment.
QUALIFICATIONS 5+ years of experience in financial operations, accounting, or regulatory reporting within a broker-dealer environment. Strong working knowledge of SEC Rules 15c3-1 and 15c3-3. Hands-on experience preparing FOCUS Reports and managing FINRA and SEC filings. Solid understanding of U.S. GAAP and broker-dealer accounting principles. Experience supporting financial statement audits and tax processes. Ability to operate independently, manage multiple priorities, and consistently meet regulatory deadlines. High attention to detail with a practical, solutions-oriented mindset. Strong communication skills and the ability to work effectively with internal and external stakeholders. CPA or similar professional designation preferred, but not required.
This role will sit
ONSITE
in New York, NY
QUALIFICATIONS 5+ years of experience in financial operations, accounting, or regulatory reporting within a broker-dealer environment. Strong working knowledge of SEC Rules 15c3-1 and 15c3-3. Hands-on experience preparing FOCUS Reports and managing FINRA and SEC filings. Solid understanding of U.S. GAAP and broker-dealer accounting principles. Experience supporting financial statement audits and tax processes. Ability to operate independently, manage multiple priorities, and consistently meet regulatory deadlines. High attention to detail with a practical, solutions-oriented mindset. Strong communication skills and the ability to work effectively with internal and external stakeholders. CPA or similar professional designation preferred, but not required.
This role will sit
ONSITE
in New York, NY