Who we're looking for
Outsourced FINOP
Net capital, FOCUS reports, 15c3-3 computations, general ledger close, year-end audit packages and auditor coordination. Series 27 or 28 required.
Net capital, FOCUS reports, 15c3-3 computations, general ledger close, year-end audit packages and auditor coordination. Series 27 or 28 required.
Compliance consultant / outsourced CCO
WSPs, annual 3120/3130 testing, AML independent tests, Reg BI and Form CRS, Reg S-P and exam support. Series 24 preferred.
WSPs, annual 3120/3130 testing, AML independent tests, Reg BI and Form CRS, Reg S-P and exam support. Series 24 preferred.
All roles are remote, anywhere in the U.S. You'll need hands-on broker-dealer experience, a clean BrokerCheck record, and good judgment with clients and regulators.
Licensing requirement: your registrations are held by RND's clients
RND Resources is a consulting firm, not a FINRA member, so it cannot hold your registrations. When you serve as a client's FINOP, CCO or principal, you will be registered through that client broker-dealer.
How it works
RND Resources is a consulting firm, not a FINRA member, so it cannot hold your registrations. When you serve as a client's FINOP, CCO or principal, you will be registered through that client broker-dealer.
- You must hold the required qualifications, such as Series 27 or 28 for a FINOP and Series 24 for a principal or CCO role. Your qualifications must be currently active, or still eligible to re-register: within two years of your last registration, or up to five years if you are enrolled in FINRA's Maintaining Qualifications Program.
- You must be willing to be registered with each client firm you serve. That means Form U4 filing, fingerprinting, background checks, continuing education, and supervision under that firm's written supervisory procedures.
- You must maintain a clean BrokerCheck record and disclose any outside business activities as each client firm requires.
A clear path from consultant to employee
Step 1 · Months 1–6
Independent consultant
You start as an independent contractor, through your own entity, working on 2–3 pre-sold RND client engagements.
- Fixed monthly fees for each engagement, paid on schedule, with no invoicing clients or chasing payments.
- Your own schedule and methods, and you can keep your other clients.
- RND's templates and supervised AI tools available to you.
Step 2 · Review
Mutual evaluation
After 3 to 6 months, we both decide whether it's a fit. We look at:
- deadlines met;
- audit and exam results;
- client feedback;
- whether you want to join full time.
Step 3 · If approved
RND employee
You join RND as a W-2 employee through our professional employer organization (PEO), which provides:
- group health, dental and vision options;
- a 401(k);
- workers' comp;
- coverage under RND's E&O and cyber insurance.
Payroll works in any state.
Why professionals join RND
- No selling, no collections. Our marketing reaches every newly registered broker-dealer each month, and PCAOB-registered broker-dealer auditors refer clients to us. Our clients are on monthly subscriptions.
- Better tools. Supervised AI agents handle rule tracking, the deadline calendar, and first drafts of WSP updates and reviews. You review and apply judgment instead of formatting documents.
- A second pair of eyes. A senior professional reviews key filings and deliverables. You'll have backup when an exam or audit issue gets complicated.
- Work that fits your life. Remote work, a manageable client load, and a path to benefits and stability.
- Four decades of broker-dealer experience behind every engagement.
Apply
Tell us about your experience and attach your resume. Dave Banerjee, CPA, reviews every application personally and replies within five business days.