What are the responsibilities and job description for the Director of Accounting and FinOp, Series 27 position at Taylor Root?
Director, Accounting and FinOp, Series 27
Location: Chicago, IL (hybrid)
Compensation: $300,000-350,000 plus bonus
Benefits: medical, dental, vision, retirement plan with match, parental leave, wellness programs
We are partnering with a leading finance firm to recruit a senior finance leader to oversee regulatory and entity-level accounting across U.S. regulated entities. In this role, you will be responsible for ensuring compliance with U.S. regulatory requirements, coordinating with legal, compliance, treasury, and audit functions, and building scalable processes in a high-growth environment.
Why This Opportunity:
This role offers the unique chance to be the regulatory accounting leader for a high-performing, technology driven organization. You’ll have high ownership, direct access to senior leadership, and the ability to build strong frameworks from the ground up. If you enjoy being at the interface of regulation, accounting, and business strategy, and thrive when solving complex challenges, this is a rare opportunity to lead.
Responsibilities:
- Lead the preparation, review, and submission of U.S. regulatory filings and returns for regulated entities (monthly / quarterly / annual).
- Serve as a subject matter expert and point of contact with external auditors, regulators, and examiners.
- Collaborate closely with compliance, legal, treasury, risk, and other back-office functions on capital / net capital, liquidity, funding, clearing deposits, and entity-level structure.
- Oversee the preparation of audited financial statements for regulated entities.
- Monitor changes in regulatory guidance (SEC, FINRA, etc.), assess impact, and drive implementation of required process changes.
- Design, document, and maintain policies, procedures, and internal controls around regulatory accounting and compliance functions.
- Partner with business and product teams to evaluate the regulatory impact of new initiatives or legal entity changes.
- Lead or contribute to special projects, system improvements, and process automations in the finance/regulatory space.
Requirements:
- Bachelor’s degree in Accounting, Finance, or related field
- 8 years of regulatory accounting, audit, or compliance experience within financial services.
- Deep working knowledge of U.S. GAAP, SEC, FINRA rules, and regulatory reporting requirements.
- Series 27 certification required.
- Proven ability to interpret regulations, propose technical solutions, and execute process changes.
Salary : $300,000 - $350,000