Vice President Finance Operations; FINOP

Mutual of America Financial Group

Job Title: Vice President, Finance Operations (FINOP)
Location: Remote or hybrid if one resides in the greater NYC area

At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility. We were founded in 1945 to provide small and mid-sized nonprofit organizations with pension and retirement-related services, along with leading customer support. Today, we provide these services also to for-profit companies, as well as to governmental entities, Tribal enterprises, institutional investors, and individuals.

We work diligently to understand the needs of our customers so we can help them achieve their retirement goals.

We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.

The Vice President, Financial Operations (FINOP) serves as the designated financial and operational principal for the broker-dealer and is responsible for ensuring the firm's compliance with all applicable SEC, FINRA, and other regulatory requirements. This role provides strategic oversight of capital management, regulatory reporting, financial controls, and operational risk while partnering closely with senior leadership, Compliance, Finance, Legal, and Operations.

The VP, FINOP serves as a trusted advisor to executive management and plays a critical role in maintaining the firm's financial integrity, regulatory compliance, and operational effectiveness.

• Serve as the firm's designated FINOP and maintain all responsibilities associated with the Series 27 Financial and Operations Principal registration.
• Ensure ongoing compliance with SEC, FINRA, SIPC, and applicable state regulatory requirements.
• Prepare, review, and file FOCUS Reports and other regulatory filings accurately and timely.
• Monitor compliance with net capital, reserve, and liquidity requirements.
• Act as the primary liaison with regulatory agencies, external auditors, and examiners regarding financial and operational matters.

• Oversee the broker-dealer's accounting records, financial reporting, and general ledger processes.
• Prepare and review monthly, quarterly, and annual financial statements.
• Analyze financial performance, capital adequacy, and operational metrics.
• Provide financial guidance and recommendations to senior leadership.
• Ensure the accuracy and integrity of financial data and regulatory reporting.

• Develop, implement, and maintain effective internal controls and supervisory procedures.
• Identify and assess operational, financial, and regulatory risks.
• Recommend and implement corrective actions to mitigate identified risks.
• Support enterprise risk management initiatives and regulatory change management efforts.

• Oversee operational processes supporting broker-dealer activities.
• Collaborate with Compliance, Legal, Operations, Technology, and Finance teams to ensure effective operational controls.
• Evaluate and enhance operational efficiencies while maintaining regulatory compliance.
• Review vendor relationships, service providers, and clearing arrangements.

• Advise executive leadership on the financial and operational impact of business initiatives, regulatory developments, and strategic opportunities.
• Participate in strategic planning and governance discussions.
• Support business growth initiatives while ensuring adherence to regulatory requirements.

• Active Series 27 (Financial and Operations Principal) license.
• Bachel…