Hiring Recruiter: Michael Jude
Email: mike@toughtechsolutions.com
Phone: 347-303-5641

Location: New York City – Financial District
Schedule: Onsite for first 3 months, then Hybrid (3 days per week)
Start Date: March 30, 2026 or earlier

Compensation: 150k -175k Plus Bonus and excellent benefits package.

Our client is a respected, 50-year-old accounting and compliance firm serving a diverse roster of broker-dealers and financial services clients. Known for its modern culture, high professional standards, and commitment to regulatory excellence, the firm offers a collaborative environment, strong internal resources, and an excellent benefits and bonus package.

The firm is seeking an experienced FINOP Accountant to support its expanding broker-dealer practice. The ideal candidate will hold a Series 27 (Financial & Operations Principal) license and possess hands-on expertise in broker-dealer accounting, regulatory reporting, and SEC/FINRA compliance.

This role plays a critical part in ensuring the accuracy of financial books and records, maintaining compliance under SEC Rule 15c3-1 and 15c3-3, and managing monthly, quarterly, and annual filings.

• Prepare and file monthly, quarterly, and annual FOCUS Reports (Part II/IIA).
   
• Maintain compliance with SEC Net Capital Rule (15c3-1) and Customer Protection Rule (15c3-3).
   
• Oversee financial books and records for multiple broker-dealer clients.
   
• Monitor reserve computations, net capital calculations, and financial ratio requirements.
   
• Assist in year-end financials, including audit preparation and coordination with external auditors.
   
• Review general ledger activity, reconciliations, accruals, and financial statements.
   
• Support regulatory examinations and inquiries as necessary.
   
• Provide guidance to clients on operational and financial compliance matters.
   
• Participate in process improvements and internal best-practice initiatives.
   

• Series 27 license (required).
   
• 3–10+ years of experience working with broker-dealers in an accounting or FINOP capacity.
   
• Strong working knowledge of SEC Rules 15c3-1 and 15c3-3.
   
• Experience preparing FOCUS filings and interacting with FINRA Gateway.
   
• Solid understanding of GAAP as applied to financial services entities.
   
• Prior audit exposure (internal or external) strongly preferred.
   
• Strong Excel skills and proficiency with accounting software platforms.
   
• Excellent analytical, communication, and organizational abilities.
   
• Ability to thrive in a fast-paced, multi-client environment.
   

• Competitive salary commensurate with experience.
   
• Annual bonus.
   
• Comprehensive benefits package (medical, dental, retirement).
   
• Modern, collaborative culture with long-term growth opportunities.
   

To arrange an interview, please APPLY on this page or send your resume or inquire directly:
mike@toughtechsolutions.com | 347-303-5641