EVP of Finance

Key Responsibilities

• Partner with executive leadership to manage day-to-day financial operations, identify process improvements, and implement enhanced procedures and controls.
• Oversee broker-dealer accounting and maintain accurate financial records in accordance with GAAP and applicable regulatory requirements.
• Manage monthly, quarterly, and annual financial close processes and ensure accurate and timely financial reporting.
• Provide financial analysis, reporting, forecasting, and recommendations to support strategic business decisions.
• Oversee broker-dealer regulatory reporting and monitor changes to SEC, Client, and other applicable requirements.
• Prepare and review regulatory filings and calculations, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, and SIPC filings.
• Maintain appropriate financial controls and ensure compliance with applicable SEC financial responsibility rules.
• Coordinate regulatory examinations, financial audits, due diligence requests, and interactions with external auditors and regulators.
• Support tax planning, reporting, and compliance activities in partnership with internal and external resources.
• Evaluate accounting systems, financial processes, and controls to ensure they effectively support the organization's regulatory and operational requirements.
• Collaborate across Finance, Operations, Compliance, Risk, and Treasury on regulatory and financial initiatives.

Qualifications

• Bachelor's degree in Accounting, Finance, or a related discipline required; CPA or advanced degree preferred.
• Active Series 27 license required.
• 7+ years of relevant Finance or Operations experience, including FINOP responsibilities within a broker-dealer environment.
• Prior experience supporting a self-clearing broker-dealer strongly preferred.
• Strong knowledge of broker-dealer accounting, regulatory reporting, net capital requirements, and SEC/Client financial regulations.
• Hands-on experience preparing or overseeing FOCUS Reports and other broker-dealer regulatory filings.
• Strong analytical, financial reporting, and problem-solving capabilities.
• Ability to handle confidential financial and regulatory information with discretion.
• Experience across Operations, Compliance, Risk Management, or Treasury is beneficial.
• Strong communication skills with the ability to work effectively with executive leadership, regulators, auditors, and cross-functional teams.