Financial and Operations Principal

We are seeking an experienced professional to join our Controllership team as the Financial and Operations Principal for the following entities: MMA Securities LLC ("MMAS"): a registered broker dealer and registered investment advisor engaged in retirement investment advisory consulting and the sale of mutual fund and variable insurance products. MMA Asset Management LLC ("MMA AM"): a registered investment advisor engaged in wealth advisory services.

This role will be based in New York City or Urbandale, IA. This is a hybrid role that has a requirement of working at least three days a week in the office.

The Financial and Operations Principal is responsible for the functional management of finance and operations team for these regulated entities which sits in Urbandale, IA. In addition, this role is responsible for coordinating annual audits and regulatory examinations, preparing and filing regulatory reports, preparation of internal management reports for business leadership, reviewing financial records and general ledger accounts reconciliations, and ensuring compliance with FINRA/SEC regulations while supporting special projects and initiatives.

The role reports to the Chief Financial Officer of these entities.

• Manage and develop the Urbandale Fin Ops team, focusing on training and professional growth.
• Managing finance and operations of regulated entities.
• Coordinate the annual financial audit with Deloitte, including the preparation of financial statements and regulatory filings.
• Prepare, review, and file various regulatory documents, including but not limited to: FOCUS, SSOI, FORM Custody, Schedule 1, and SIPC.
• Oversee the review of general ledger reconciliations and supporting documentation prepared by the Fin Ops team, ensuring all discrepancies are addressed and resolved.
• Calculate net capital monthly and as needed for MMA Securities.
• Collaborate with the Chief Financial Officer to develop efficient accounting and operational policies and procedures that ensure compliance with FINRA/SEC regulations, with an emphasis on SOX controls and operational excellence.
• Assist the Chief Financial Officer with special projects and new initiatives.

• 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 and a strong understanding of US GAAP.
• Series 27 license.

• CPA is 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, with the ability to effectively interface with senior management, business leaders, producers, carriers, mutual fund companies, and the Fin Ops team across two office locations (NYC and Urbandale), as well as with Controllership, Compliance, Legal, and Treasury departments; must be comfortable and confident engaging with colleagues at all levels.
• Strong attention to detail, commitment to accuracy, and highly organized.
• Resilient and persistent in overcoming challenges, demonstrating strong convictions.
• Experience in a small team environment that requires managers to act as player-coaches, with a willingness to engage in hands-on tasks.

We help you be your best through professional development opportunities, interesting work and supportive leaders. We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients and communities. Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being.

Marsh (NYSE: MRSH) is a global leader in risk, reinsurance and capital, people and investments, and management consulting, advising clients in 130 countries. With annual revenue of over $27 billion and more than 95,000 colleagues, Marsh helps build the confidence to thrive through the power of perspective. For more information, visit , or follow us on Linked In and X.

Marsh is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race,…