Executive Vice President of Finance

Position: EVP, Finance & Operations

Location: New York (Relocation provided)

Mode: On-site | (Potential Hybrid)

Overview:

Seeking an EVP of Finance & Operations to lead finance, accounting, and brokerage operations at a self-clearing proprietary broker-dealer. This role reports to the CEO and oversees financial reporting, regulatory compliance, and internal controls.

Key Responsibilities:

• Partner with leadership on firm operations and strategy
• Manage financial reporting, books, and GAAP compliance
• Oversee P&S, margin, and reconciliations
• Support CFO with financial analysis and reporting
• Lead month-end, quarter-end, and year-end close
• Monitor and implement regulatory updates (SEC/FINRA)
• Manage external relationships (auditors, regulators)
• Oversee tax compliance and financial responsibility rules
• Handle reporting including FOCUS, Net Capital, SSOI, and audits

Requirements:

• Bachelor’s in Accounting/Finance (advanced degree preferred)
• Series 27 required; CPA preferred
• 8 years in broker-dealer Finance/Operations (self-clearing preferred)
• Strong knowledge of SEC/FINRA regulations
• Proven analytical skills and high discretion

Additional:

Experience across Operations, Compliance, Risk, Cash Management, and Treasury is a plus.