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Director Financial Operations
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Full-time
- SWBC is seeking a talented individual to oversee and manage the accounting, compliance, and regulatory functions for the Investment Services Division Broker/Dealer and Registered Investment Advisor operations as required by the SEC, FINRA and other regulatory agencies.
- Responsible for supervising the Investment Services accounting team, and interfacing with the senior management team providing insight and expertise for Broker/Dealer and Registered Investment Advisor operations and financial results.
- Provides accounting compliance support for the corporation’s licensed broker/dealer operations to include coordinating and overseeing monthly, quarterly, and annual reporting of financial operations as required by FINRA and other regulatory agencies.
- Performs research on all financial regulatory aspects for the broker/dealer and investment advisory operations for the company.
- Monitors rules and record keeping requirements of the broker/dealer operation accounting and reporting.
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