Financial and Operations Principal

• Functionally manage the finance and operations team for regulated entities
• Manage and develop the Urbandale Fin Ops team, focusing on training and professional growth
• Manage finance and operations of regulated entities
• Coordinate the annual financial audit with Deloitte, including preparation of financial statements and regulatory filings
• Prepare, review, and file regulatory documents including FOCUS, SSOI, FORM Custody, Schedule 1, and SIPC
• Oversee general ledger reconciliations and supporting documentation
• Address and resolve discrepancies
• Calculate net capital monthly and as needed for MMA Securities
• Develop accounting and operational policies and procedures with the CFO
• Ensure compliance with FINRA/SEC regulations, SOX controls, and operational excellence
• Assist the CFO with special projects and new initiatives
• Report to the Chief Financial Officer

• Bachelor’s degree, ideally in Accounting, Finance, Business Administration, or a related field
• 10 years of experience as a Financial and Operations Principal in a broker dealer setting
• Strong understanding of US GAAP
• Series 27 license
• CPA preferred but not required
• Experience as a Controller or CFO of a broker dealer or registered investment advisor
• Audit experience in public accounting, internal audit, or as a regulatory examiner
• Excellent communication skills and ability to interface with senior management and cross-functional stakeholders
• Strong attention to detail and commitment to accuracy
• Highly organized
• Experience in a small team environment requiring player-coach managers
• Willingness to engage in hands‑on tasks

Demonstrates expertise in finance and operations management for regulated entities, with a strong focus on compliance with FINRA/SEC regulations and US GAAP. Proven ability to lead teams, manage audits, and develop accounting policies while ensuring operational excellence.

• Financial Operations Management
• Regulatory Compliance
• US GAAP Understanding
• Series 27 License
• Audit Experience

• Financial Statement Preparation
• General Ledger Reconciliation
• Regulatory Document Filing
• Net Capital Calculation
• Accounting Policy Development

• Excellent Communication
• Attention to Detail
• Highly Organized
• Player-Coach Management

• Bachelor’s Degree in Accounting
• CPA Preferred
• Series 27 License

• Broker Dealer
• Regulated Entities
• FINRA
• SEC
• SOX Controls

• Deloitte Audit Coordination
• FOCUS Filing
• SSOI Filing
• FORM Custody Filing
• Schedule 1 Filing
• SIPC Filing