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Principal Operations Associate

New York, NY


Respected CPA & consulting firm in Midtown specializing in the securities industry seeks a Principal Operations Associate with experience servicing financial services firms. Our client base includes US broker-dealers, investment advisers, commodity brokers, privately held funds, investment arms of foreign banks and startup firms with a focus on FinTech.


DFP Partners is a CPA firm, formed in 1952, known for providing expert support to the financial services industry. Our client base includes broker-dealers, investment advisers, privately held funds, and the US arms of foreign banks. Our services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory.


This is a supervisory role for operations within a broker-dealer, ensuring that all firm operations are compliant with FINRA’s rules and regulations. Success in this position requires outstanding communication and partnering skills along with the ability to work both independently and as part of a team. The Principal Operations Associate will report directly to the Director of Operations and will support the Director with preparing monthly and quarterly reports that monitor the day to day operations of the firm’s clients


  • BS in Finance or Business Administration
  • 2-4 years of back/middle office operations experience
  • Experience in documenting and monitoring defined procedures within a broker-dealer or investment firm
  • Detailed knowledge of transactions in equity and/or fixed income securities
  • Understanding the life-cycle of a trade
  • Familiar with the day to day operations and procedures associated with firms that offer Private Placement, Merger & Acquisition, and 15a-6 services
  • Experience with meeting and speaking with C-Level executives
  • Proven ability to work as part of a team environment and as an individual contributor
  • Ability to adapt quickly to new demands and challenges
  • Ability to handle multiple tasks simultaneously
  • Ability to effectively become a team leader
  • Strong Excel background
  • Series 27 license preferred or willing to take and pass the exam within 3 months of hire
  • Must be willing to travel within New York City as well as out of state to meet with clients.
  • Degree – Finance, Business Administration

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