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FinOp Responsibilities

Responsibilities of the Finance and Operations Principal

The Finance and Operations Principal is responsible for the following duties:

  • Final approval and responsibility for the accuracy of financial reports submitted to any duly established securties industry regulatory body;
  • Final preparation of such reports;
  • Supervision of individuals who assist in the preparation of such reports;
  • Supervision of and responsibility for individuals who are involved in the actual maintenance of the member's books and records from which such reports are derived;
  • Supervision and/or performance of the member's responsibilities under all financial responsibility rules promulgated pursuant to the provisons of the Securities Act of 1934 (Exchange Act);
  • Overall Supervision of and responsibility of the individuals who are involved in the administration and maintenance of the member's back office operatons;
  • Compute and monitor net capital in accordance with Sec Rule 15c3-1;
  • Serve as liaison with outside auditors during the firms required annual financial audit;
  • Any other matters involving the financial and operational management of the member.

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