Associate/ AVP FinOps

 

AVP / Associate – Financial Operations

Location: New York, NY
Compensation: $120,000 – $145,000 Base + Bonus

Overview

A growing broker-dealer and institutional trading platform is seeking an AVP / Associate within Financial Operations to support regulatory capital reporting, customer reserve computations, and day-to-day financial control functions across a self-clearing equities and listed derivatives business.

This role will sit within the firm’s Financial Operations team and partner closely with Risk, Treasury, and Operations to ensure regulatory compliance with SEC capital and customer protection rules as trading volumes and clearing activity continue to scale.

You will be working on the calculations that regulators actually care about. Not the ones that make the PowerPoint look nice.

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Key Responsibilities

• Assist in preparation and review of:

  • Net Capital (Rule 15c3-1) computations

  • Customer Reserve (Rule 15c3-3) calculations

• Support FOCUS reporting (Part II / IIA) and related FINRA/SEC filings

• Contribute to Stock Record and Reserve Formula Allocation submissions

• Monitor daily regulatory capital levels and customer segregation requirements

• Partner with Risk on:

  • DTCC VaR requirements

  • OCC margin requirements

• Assist with liquidity monitoring and capital usage tracking across business lines

• Support internal and external audits as well as regulatory examinations

• Participate in process improvement and automation initiatives across regulatory reporting workflows

• Work closely with Operations and Treasury teams on settlement cycle and funding impacts

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Qualifications

• 3–7+ years of Financial Operations or Regulatory Reporting experience within a broker-dealer

• Working knowledge of:

  • SEC Rule 15c3-1

  • SEC Rule 15c3-3

  • Customer Protection requirements

• Experience with FOCUS reporting preferred

• Exposure to equities and/or listed options clearing environment

• Familiarity with DTCC and/or OCC capital or margin frameworks

• Series 27 license (or progress toward obtaining) preferred

• Strong analytical and Excel skills

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Why This Role

The firm has grown from a startup environment into a 75-person institutional platform over the past decade and is continuing to expand its clearing footprint across equities and derivatives markets.

As trading activity increases, this role will support the infrastructure responsible for maintaining the firm’s capital adequacy and customer protection framework in line with regulatory expectations.

Because someone has to make sure growth doesn’t come with a side of enforcement action.