Job Description

Currently representing a prominent self-clearing broker-dealer is seeking an Executive Vice President of Finance & Operations to lead its brokerage operations and affiliated entities. This executive will be a key member of the leadership team, reporting directly to the CEO. The role encompasses oversight of finance and accounting functions, including the implementation of financial processes, external filings, financial reporting, and internal controls.

SERIES 27 REQUIRED

LOC- NYC (Hybrid)

HOURS- 10am-5pm

COMP - $175k-225k base

Responsibilities:

• Lead regulatory compliance efforts, stay informed on industry developments, and manage relationships with external parties such as auditors and regulators.
• Assist the CFO with financial reporting, analysis, and strategic planning initiatives.
• Ensure accurate financial records for the broker-dealer in accordance with GAAP and regulatory requirements, and oversee timely monthly, quarterly, and annual closes.
• Manage tax compliance and planning, supervise financial activities governed by SEC regulations, and ensure alignment between financial systems and accounting processes.
• Collaborate with the CEO and executive leadership to manage daily operations, identify areas for improvement, and implement operational enhancements.
• Oversee critical financial reporting and compliance deliverables, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, SIPC filings, audits, FINRA examinations, and due diligence processes.

Qualifications:

• Series 27 required********
• Bachelor's in accounting or finance required
• Advanced degree and CPA preferred.
• Discretion with sensitive information
• Experience in Operations, Finance, Compliance, Risk Management, or Treasury is a plus.
• 10+ years of experience in Operations/Finance as a FINOP
• Expertise in broker-dealer operations and regulatory reporting.

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