Vice President Finance Operations (FINOP)

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, Financial Operations 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.