Executive Vice President of Finance
Job Title: Executive VP of Finance
Location: New York, NY (Hybrid)
Salary: $180k - $240k + bonus
Summary:
Join the executive team at a specialized self-clearing broker-dealer and take charge of end-to-end brokerage operations. In this high-visibility role, reporting directly to the CEO, you'll lead the design and maintenance of accounting processes, financial reporting, and internal controls. You'll ensure GAAP- and SEC-compliant financial statements while staying ahead of evolving regulations and industry standards. This position offers the opportunity to make a meaningful impact in a dynamic environment.
In this role you will be responsible for:
- Partner with the CEO and senior leadership to manage daily operations, drive process improvements, and implement strategic recommendations.
- Prepare financial statements and maintain Broker-Dealer records in compliance with GAAP and regulatory requirements, ensuring timely monthly, quarterly, and annual closes.
- Support the CFO with financial analysis, reporting, and strategic insights.
- Lead regulatory compliance efforts, monitor industry developments, and manage relationships with external stakeholders, including auditors and regulators.
- Oversee tax planning and compliance, supervise financial responsibilities under SEC rules, and align financial systems with accounting processes.
- Manage key reporting and compliance activities, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, SIPC filings, audits, FINRA exams, and due diligence reviews.
The ideal candidate should have the following qualifications and skills:
- Bachelor's degree in accounting or finance required; advanced degree and CPA designation strongly preferred.
- FINRA Series 27 license required.
- Minimum 10 years of experience in Operations or Finance as a FINOP or in a comparable role at a self-clearing broker-dealer, with deep expertise in broker-dealer operations and regulatory reporting.
- Experience in Operations, Finance, Compliance, Risk Management, or Treasury is highly desirable.
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