Vice President, Finance Operations

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🔥 0 minutes ago

🌵 Arizona, Illinois, +3 more states – Remote

🌵 Arizona – Remote 🌽 Illinois – Remote 🗽 New York – Remote 🍂 Massachusetts – Remote 🔔 Pennsylvania – Remote

💵 $176.7k - $265.1k / year

⏰ Full Time

🔴 Lead

👔 Vice President

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Mutual of America Financial Group

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1945

🛡️ Insurance

💼 Consulting

💸 Finance

Insurance • Consulting • Finance

Mutual of America Financial Group is a U. S. -based financial services company that provides retirement and investment solutions for individuals and employer-sponsored plans. It offers a range of products including 401(k), 403(b), 401(a), 457 plans, IRAs, flexible premium annuities, investment management, and administrative/recordkeeping services, serving nonprofit, business, tribal, and government clients across all 50 states. The firm emphasizes plan sponsor support, online account access, retirement education tools, and long-term client relationships backed by decades of operations.

📋 Description

• Serve as the firm's designated FINOP and maintain responsibilities associated with the Series 27 Financial and Operations Principal registration • Ensure ongoing compliance with SEC, FINRA, SIPC, and applicable state regulatory requirements • Prepare, review, and file FOCUS Reports and other regulatory filings accurately and timely • Monitor compliance with net capital, reserve, and liquidity requirements • Act as primary liaison with regulatory agencies, external auditors, and examiners regarding financial and operational matters • Oversee broker-dealer accounting records, financial reporting, and general ledger processes • Prepare and review monthly, quarterly, and annual financial statements • Analyze financial performance, capital adequacy, and operational metrics • Provide financial guidance and recommendations to senior leadership • Ensure accuracy and integrity of financial data and regulatory reporting • Develop, implement, and maintain effective internal controls and supervisory procedures • Identify and assess operational, financial, and regulatory risks • Recommend and implement corrective actions to mitigate identified risks • Support enterprise risk management initiatives and regulatory change management efforts • Oversee operational processes supporting broker-dealer activities • Collaborate with Compliance, Legal, Operations, Technology, and Finance teams • Evaluate and enhance operational efficiencies while maintaining regulatory compliance • Review vendor relationships, service providers, and clearing arrangements • Advise executive leadership on financial and operational impacts of initiatives, regulatory developments, and strategic opportunities • Participate in strategic planning and governance discussions • Support business growth initiatives while ensuring adherence to regulatory requirements

🎯 Requirements

• Active Series 27 (Financial and Operations Principal) license • Bachelor’s degree in accounting, Finance, Business Administration, or a related field • 10+ years of progressive experience within broker-dealer finance, regulatory reporting, operations, or compliance functions • Extensive knowledge of SEC, FINRA, SIPC, and broker-dealer regulatory requirements • Experience preparing FOCUS Reports, net capital computations, reserve calculations, and regulatory filings • Demonstrated experience managing audits, regulatory examinations, and compliance reviews • Strong analytical, financial, and risk management skills • Excellent verbal, written, and presentation skills • Proven ability to influence and collaborate across senior leadership teams • CPA designation preferred • Experience supporting insurance-affiliated or retirement-services broker-dealers preferred • Experience within an introducing broker-dealer environment preferred • Familiarity with enterprise risk management frameworks and regulatory technology solutions preferred • Experience leading teams and managing third-party service providers preferred

🏖️ Benefits

• Annual bonus • Comprehensive medical, dental, and vision benefits starting day one of employment • 401(k) match: up to 6% of pay with 100% employer match on employee contributions • 8 weeks fully paid parental leave • 20 days paid time off plus two floating personal holidays