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Carlyle

Global private equity and credit investor

Capital Markets Finance & Operations

Financial AccountingConfirmed live in the last 24 hours
Full-time

About the Job

Requirements

  • A bachelor's degree is required.
  • An active FINRA Series 27 (Financial and Operations) license in good standing is mandatory; candidates without an active license will not be considered.
  • Series 99 (Operations Professional) or Series 24 (General Securities) in addition to the Series 27.
  • A CPA license or equivalent professional accounting credential.
  • A minimum of 7–10 years of overall relevant experience is required.
  • Progressive experience in a FinOp, financial reporting, or regulatory reporting role within a FINRA-registered broker-dealer is required.
  • Deep functional expertise in SEC Rules 15c3-1 (Net Capital), 15c3-3 (Customer Protection), 17a-3, and 17a-4, and FINRA financial reporting rules.
  • Hands-on experience preparing and filing FOCUS Reports and coordinating broker-dealer annual audits.
  • Strong working knowledge of GAAP as applied to broker-dealer accounting, including the AICPA's Audit and Accounting Guide for Broker-Dealers.
  • Experience operating within, or in close coordination with, a large financial institution or asset manager, including comfort navigating a matrixed corporate environment.
  • Demonstrated ability to build and own a control environment.
  • Experience with broker-dealers that support alternative asset management platforms, including 506(c) private placement distribution, interval funds, tender offer funds, or BDC distribution.
  • Familiarity with DTCC, DTC, and clearing/settlement operations in the context of a limited-purpose or introducing broker-dealer.
  • Prior experience managing a regulatory examination (FINRA cycle exam) as the lead FINOP contact.
  • Ability to build infrastructure and processes from scratch without waiting for direction.
  • Ability to present to and build trust with senior leadership.
  • Ability to work across legal, compliance, finance, operations, and business development teams.

Responsibilities

  • Serve as the designated FINOP responsible for FINRA Rule 1220(a)(4) obligations, including ensuring the broker-dealer maintains required minimum net capital under SEC Rule 15c3-1 at all times.
  • Prepare and file required FINRA/SEC financial reports, including FOCUS Reports (Parts I, II, IIA, and IIB as applicable), SEC Form 17(H) filings, annual audited financial statements, and supplemental filings required by FINRA or state regulators.
  • Monitor net capital levels daily and implement early-warning protocols and escalation procedures if thresholds are approached.
  • Maintain current knowledge of applicable FINRA and SEC rules, assess regulatory changes, and implement updates to policies and procedures.
  • Own the general ledger and financial statements of TCG Capital Markets, ensuring accurate, timely, and complete accounting in accordance with GAAP.
  • Manage month-end and year-end close processes and coordinate with Carlyle's corporate accounting and finance teams to ensure proper consolidation.
  • Maintain books and records in compliance with SEC Rules 17a-3 and 17a-4, including ledgers and associated documentation.
  • Coordinate the annual financial statement audit with external auditors and act as the primary liaison for broker-dealer-specific financial audit inquiries.
  • Design and implement internal controls over financial reporting appropriate for a FINRA-registered broker-dealer, and document the control environment for senior leadership review.
  • Manage firm cash accounts and ensure proper segregation of customer funds and securities where applicable under SEC Rule 15c3-3.
  • Oversee firm bank accounts, reconciliations, and wire approval processes; work with Carlyle treasury on intercompany funding and cash positioning.
  • Administer vendor and counterparty payment processes and maintain an accounts-payable function appropriate to the broker-dealer's operating scale.
  • Lead the transition from an outsourced FinOp model to a fully insourced function, managing knowledge transfer, system migrations, and process documentation.
  • Evaluate and implement technology solutions for financial reporting, net capital computation, and regulatory filing, such as cloud-based broker-dealer accounting and compliance platforms.
  • Establish and maintain the broker-dealer's operational policies and procedures manual, and ensure staff and senior management are trained on relevant obligations.
  • Coordinate with compliance, legal, and operations teams on new product launches, trading desk expansions, and other activities affecting the broker-dealer's regulatory footprint.
  • Provide training to corporate accounting team members on SEC/FINRA requirements and internal controls.
  • Serve as the primary operational and financial liaison during FINRA examinations and SEC inspections.
  • Manage production of documents and information in response to regulatory inquiries, coordinating with legal counsel as needed.
  • Track examination findings and manage resulting corrective actions through timely completion.

Desired Qualifications

  • Prior experience transitioning FinOp operations from outsourced to in-house is a significant advantage.

About the Company

Carlyle

Global private equity and credit investor

Carlyle manages alternative investments for institutions and high-net-worth individuals. Client money is pooled into funds or managed accounts, and investment teams source, diligence, and actively manage holdings to buy, grow, and exit investments, with returns coming from asset appreciation, income, and realized exits. It differentiates itself with a large global platform across multiple strategies and geographies, broad deal flow, specialized teams, and long-standing relationships that help build diversified portfolios in private equity, credit, and real assets. Its goal is to generate attractive, risk-adjusted returns for clients over the long term while preserving capital and providing liquidity options suitable to each strategy.

Company size
1,001-5,000
Company stage
IPO
Headquarters
Dublin, Ireland
Founded
1987

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