FINOP-Financial Operations Principal

• Preparation and filing of monthly, quarterly and annual FINRA reports:
  • FOCUS (Financial and Operational Combined Uniform Single)
  • SSOI (Supplemental Statement of Income)
  • Form Custody filing
  • Net Capital Computations
    
• Other FINOP Services Provided:
  • Support preparation of annual audited financial statements
  • Bank reconciliations review
  • Brokerage statement analysis
  • Annual audit support
  • FINRA / SEC examination support
  • Accounting due diligence
  • Chart of accounts – review structure for optimization
  • SIPC (Securities Investor Protection Corporation) filings
  • Net capital projections
  • Fidelity bond review
  • Significant transactions – advise client of net capital and financial impact
  • Alert you to regulatory developments and industry trends
  • Partner with your leadership and regulatory teams on regulatory financial compliance matters

Chief Financial Officer

• Financial statement preparation and analysis
• Budgets and forecasts
• Capital planning and Net Capital stress testing 
• Financing strategies
• Preparation of annual audited financial statements
• General Ledger
  • Assessment
  • Implementation
• Internal controls and internal audit
• Mergers and acquisitions – analysis, due diligence and integration
• Incentive compensation plan design
• Incentive compensation system – assessment and implementation
• CRM system selection and implementation
• Project management
• Risk management
• Key Performance Indicators
• Preparation of monthly management reporting package
• Contract negotiation and vendor management
• Recruitment and selection of accounting personnel
• Business plan and budget preparation