Job Description
Lead Financial Regulatory Oversight
Lead financial regulatory oversight for a broker-dealer. Serve as primary contact for regulatory examinations.
About Our Client
Broker-dealer and RIA.
Job Description
Regulatory & Financial Oversight
- Maintain ongoing compliance with applicable financial responsibility regulations and industry requirements.
- Prepare, review, and submit regulatory filings and financial reports within required deadlines.
- Monitor capital adequacy, liquidity levels, and related financial metrics, escalating issues when appropriate.
- Oversee customer asset protection controls and ensure adherence to regulatory safeguarding requirements.
- Act as the primary liaison during regulatory examinations and inquiries.
Accounting & Operational Management
- Manage the firm's general ledger, financial statements, accounting records, and reporting processes.
- Oversee daily financial operations, reconciliations, exception management, and cash controls.
- Review transaction activity to ensure accuracy and compliance with internal procedures.
- Coordinate expense management, invoicing processes, and financial governance initiatives.
- Support tax reporting and other statutory filing requirements.
Risk, Controls & Governance
- Establish and maintain a strong internal control environment across finance and operations.
- Partner with external auditors on annual audits and regulatory reviews.
- Monitor third-party service providers, clearing relationships, and outsourced operational functions.
- Identify operational risks and implement process improvements to strengthen controls and efficiency.
- Develop and maintain policies, procedures, and supervisory frameworks supporting regulatory compliance.
Leadership & Stakeholder Management
- Collaborate with senior management, compliance, legal, and operations teams on strategic initiatives.
- Provide guidance and oversight to finance and operations personnel.
- Support business growth while maintaining a robust control and compliance environment.
- Communicate effectively with regulators, auditors, and internal stakeholders on financial and operational matters.
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
- Bachelor's degree in Finance, Accounting, Business Administration, or a related discipline.
- Prior experience serving as a designated FINOP within a regulated broker-dealer environment.
- Active FINRA Series 27 or Series 28 licence required.
- Strong knowledge of broker-dealer financial responsibility regulations, capital requirements, and regulatory reporting.
- Experience preparing regulatory filings, financial statements, and audit documentation.
- Solid understanding of accounting principles, reconciliations, and operational controls.
- Previous experience managing finance and operations teams.
- Familiarity with brokerage, wealth management, or private banking environments.
- Experience interacting directly with regulators and external auditors.
- Bilingual English and Spanish communication skills preferred.
- Strong analytical skills, attention to detail, and ability to operate effectively in a highly regulated environment.
Preferred Background
- Broker-dealer finance and operations leadership
- Regulatory reporting and capital management
- Wealth management or private banking operations
- Audit, risk management, and control frameworks
- Third-party oversight and vendor governance
What's on Offer
- $180,000 - $250,000 base salary.
Job Summary
Sector: Financial Services
Sub Sector: Accountancy & Finance
Industry: Financial Services
Where: Miami
Contract Type: Permanent
Consultant name: Lauren VanManen
Job Reference: JN-052026-7028821
Numbers & Facts
| Location | Miami, Florida |
| Job Type | Full-time |
| Industry | Staffing/Employment Agencies |
| Salary | $180,000–$250,000 Per Year |
| Company Size | 10,000 employees or more |
| Website | https://www.michaelpage.ca/ |
About Company
Michael Page is one of the world's leading professional recruitment consultancies, specializing in the placement of candidates in permanent, contract, temporary and interim positions with clients around the world.
Our business was established in Canada in 2005 when we opened our Toronto office. Our role is to work with employers and job seekers to facilitate a successful match. This can range from advising a global company on a candidate sourcing strategy to helping a job seeker find their dream job.
In Canada, we focus on recruiting for the following areas:
Banking and financial services
Digital and e-commerce
Engineering and manufacturing
Finance and accounting
Human resources
Information technology
Marketing
Oil and gas
Procurement and supply chain
Property and construction
Sales
An Established Brand
The Group has established a leading presence in many of the key markets for professional recruitment around the world and has positioned itself in certain other markets, which offer the opportunity for future growth. Within its current largest markets, Michael Page has also built a regional presence, including in the UK, France and Australia. Consequently, the Michael Page brand is among the most widely recognized brands in the professional recruitment industry.
A Market Leader
The role of a recruitment consultancy is to act as an intermediary, identifying and sourcing suitably qualified candidates on behalf of its clients. Candidates are recruited either for permanent or contract positions (typically for a fixed term) or on a temporary basis. Within the overall recruitment industry, the market for professional recruitment services is a specialist sector which has developed more recently. Michael Page is widely recognized as leading the development of this market around the world.
Learn the benefits of working with Michael Page yourself. Submit your resume or contact a Michael Page recruitment consultant today.
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