Deputy Financial and Operations Principal
| Company | Marsh & McLennan |
|---|---|
| Location | Grimes, IA, USA, New York, NY, USA |
| Salary | $112900 – $225500 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Expert or higher |
Requirements
- Bachelor’s degree, ideally in Accounting, Finance, Business Administration, or a related field.
- A minimum of 10 years of experience in a broker dealer or registered investment advisor setting and a strong understanding of US GAAP.
- Series 27 license.
- Audit experience in public accounting, internal audit, or as a regulatory examiner.
Responsibilities
- Manage and develop the New York FinOps team, focusing on training and professional growth.
- Support the Financial and Operations Principal in managing the finance and operations of regulated entities.
- Coordinate the annual financial audit with Deloitte, including the preparation of financial statements and regulatory filings.
- Prepare, review, and file various regulatory documents, including but not limited to: FOCUS, SSOI, FORM Custody, Schedule 1, and SIPC.
- Oversee the review of general ledger reconciliations and supporting documentation prepared by the FinOps team, ensuring all discrepancies are addressed and resolved.
- Calculate net capital monthly and as needed for Catastrophe Bond underwritings.
- Collaborate with the Financial and Operations Principal to develop efficient accounting and operational policies and procedures that ensure compliance with FINRA/SEC regulations, with an emphasis on SOX controls and operational excellence.
- Assist the Financial and Operations Principal with special projects and new initiatives.
Preferred Qualifications
- Excellent communication skills, with the ability to effectively interface with senior management, business leaders, producers, carriers, mutual fund companies, and the FinOps team across two office locations (NYC and Urbandale), as well as with Controllership, Compliance, Legal, and Treasury departments; must be comfortable and confident engaging with colleagues at all levels.
- Strong attention to detail, commitment to accuracy, and highly organized.
- Resilient and persistent in overcoming challenges, demonstrating strong convictions.
- Experience in a small team environment that requires managers to act as player-coaches, with a willingness to engage in hands-on tasks.