Monday, August 11, 2014

FINOP specialist - Newport Beach

Financial Operations Specialist - Newport Beach

Exciting Start Up Niche Micro-Investment Investment Firm seeks a full time FINOP to join their team.
  • Take a 360 degree hands-on approach to entire financial operations of our broker / dealer
  • Individual will liaise directly with the CFO of the B/D and the CCO to and settle all trading activities, exception reports and reconcile against general ledger on a daily, weekly, monthly, quarterly and annual basis.
  • Report overall financial condition of the B/D to Senior Members: CEO, CFO and COO
  • Be involved in all aspects of finance, accounting and operations functions of broker dealer
  • Reconcile all accounts including banking / clearing / accounts payable
  • Prepare and file quarterly FOCUS reports to FINRA
  • Follow all rules, filings and extensions pertaining to SEC 153c-3
  • Serve as audit contact for the firm for financial / regulatory audits
  • Tax planning and compliance for all entities, working with external vendors
  • Responsible for month end financial accounts using QuickBooks
  • Responsible for the production of management accounts with commentary for all entities
  • Production and control of Budgets
  • Prepare monthly management accounts and annual financial statements
  • Oversee day to day operations of trades and immediately resolve all trade exceptions from our OMNIBUS custodian account to clients’ accounts and reconcile and update QuickBooks accounting  records
  • Series 27 required; Series 7 a plus
  • Bachelor Degree  Business
  • Experience: 5 -10 years of work experience comprising both of brokerage financial operations & trading and accounting and reconciliation
  • CPA a plus
  • Big 4 accounting background a plus
  • Clean U-4/U-5
Personal Attributes:
  • Deadline Driven
  • Hands on with day to day of minutia of trading, ops, exception reports, financial reporting, etc.
  • A Forward Thinker
  • High attention to detail
  • Handle extreme pressure
  • Takes Self Initiative
We are a financial services recruitment and staffing firm. For more information visit:
If interested in the position, please email resume to Christina, at

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