Marsh McLennan·11 days ago
11 days ago
Financial and Operations Principal
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What you'll do
- Leading the finance and operations management for MMA Securities LLC and MMA Asset Management LLC
- Oversee regulatory compliance
- Coordinate audits
- Support business leadership
What they're looking for
- Series 27 license
- CPA
- Strong background in broker dealer finance and regulatory environments
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
Become part of our team as the Financial and Operations Principal, leading the finance and operations management for MMA Securities LLC and MMA Asset Management LLC. Oversee regulatory compliance, coordinate audits, and support business leadership. Ideal for experienced professionals with a strong background in broker dealer finance and regulatory environments.
Skills
- finra/sec compliance
- general ledger reconciliation
- us gaap
- series 27 license
- financial statement preparation
- regulatory reporting
- sox controls
- audit coordination
- internal audit
- team management
- financial operations management
- regulatory filings
- focus, ssoi, and form custody
- schedule 1 and sipc
- net capital calculation
- policy development
- operational policy development
- cpa
- public accounting audit
- player-coaching
- stakeholder engagement
Company
Marsh McLennan
1166 Avenue of the Americas, United States of America
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