The Financial Operations group is primarily responsible for the firms compliance with the SEC, FINRA, NFA, CFTC and other regulatory agencies rules and regulations. The group compiles, reviews and prepares regulatory and financial reports, including but not limited to, CFTC Daily Segregation, 15c3-3 Customer Reserve, Net Capital Computations (CFTC & SEC) and FOCUS & CFTC 1-FR with all the supplemental schedules. Primary responsibilities will be preparing and assisting in production of CFTC Daily Segregated Funds Statements (i.e. Daily Seg), Residual Interest Monitoring, and SIDR Reporting. The role may increase in scope based on individual performance.
As Financial Operation Manager, you will be assisting and/or preparing primarily NFA registered FCMs financial regulatory reporting.
What you’ll do
- Preparing or assisting in producing required financial regulatory reports for a FCM entity, including 1-Fr, SIDR, Daily Seg, and Residual Interest
- Preparing or assisting in producing required financial regulatory reports for a registered broker dealer, including FOCUS, Reserve Computation
- Preparing or assisting in accounting close for FCM or registered broker dealer.
What you bring
- Bachelor’s Degree of accounting or related fields from an accredited institution
- 4 -5 years of experience in the finance department of a registered FCM or Broker-dealer with deep knowledge of key processes and controls surrounding the preparation and delivery of regulatory reporting requirements.
- Excellent quantitative and problem solving skills coupled with strong communication and the ability to present to non-technical audiences.
- Strong Excel skills and experience with process automation (i.e. digital tools)
- Series 99, 7 or 27.
What we offer
- Market competitive and pay equity-focused compensation structure
- 100% paid health insurance for employees with 90% coverage for dependents
- Annual lifestyle wallet for personal wellness, learning and development, and more!
- Lifetime maximum benefit for family forming and fertility benefits
- Dedicated mental health support for employees and eligible dependents
- Generous time away including company holidays, paid time off, sick time, parental leave, and more!
- Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits
The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood’s equity plan.
US Zone 1: $111000 – $130000
US Zone 2: $97000 – $114000
US Zone 3: $86000 – $101000