Financial and Operations Principal

About the role

Marsh is looking for an experienced Financial and Operations Principal to join its Controllership team for MMA Securities LLC (a registered broker-dealer and investment advisor) and MMA Asset Management LLC (a registered investment advisor). The role is based in New York City or Urbandale, IA, is hybrid with at least three days a week in the office, and reports to the Chief Financial Officer.

Key responsibilities

• Manage and develop the Urbandale FinOps team, focusing on training and professional growth.
• Coordinate the annual financial audit with Deloitte, including preparation of financial statements and regulatory filings.
• Prepare, review and file regulatory documents such as FOCUS, SSOI, FORM Custody, Schedule 1 and SIPC.
• Oversee general ledger reconciliations and supporting documentation, resolving discrepancies.
• Calculate net capital monthly and as needed for MMA Securities.
• Collaborate with the CFO on accounting and operational policies and procedures, with an emphasis on SOX controls and compliance with FINRA/SEC regulations.
• Support the CFO with special projects and initiatives.

Required profile

• Bachelor's degree, ideally in Accounting, Finance, Business Administration or a related field.
• 10 years of experience as a Financial and Operations Principal in a broker dealer setting, with a strong understanding of US GAAP.
• Series 27 license.
• Preferred but not required: CPA, experience as a Controller or CFO of a broker dealer or registered investment advisor, and audit experience in public accounting, internal audit or as a regulatory examiner.

Required skills

• Excellent communication skills, able to interface with senior management, business leaders, producers, carriers, mutual fund companies and the FinOps team across two offices, as well as Controllership, Compliance, Legal and Treasury.
• Strong attention to detail, accuracy and organization.
• Comfortable acting as a player-coach in a small team and willing to do hands-on work.

What we offer

• Base salary range of $138,100 to $276,200, depending on experience, skills, location and certifications.
• Performance-based incentives may be available.
• Health and welfare benefits, tuition assistance, 401K and other retirement programs, and employee assistance programs.
• Professional development opportunities and a hybrid work arrangement with at least three days per week in the office.