What are the responsibilities and job description for the Executive Vice President of Finance position at Clark Davis Associates?
My client is a proprietary broker‑dealer headquartered in New York City in search of their next EVP, Finance.
Must have ROBUST broker‑dealer operational expertise and a strong knowledge of regulatory accounting and FINOP responsibilities.
In this role you will oversee the finance, accounting, and operational infrastructure, driving process improvement, ensuring compliance with SEC, FINRA, and GAAP requirements. High level visibility reporting directly to the CEO.
Ideal candidate will come out of a boutique organization
.
Responsibilities:
- Oversee all finance, accounting, and self-clearing brokerage operations for the firm
- Lead the preparation and review of FOCUS reports, Net Capital computations, SSOI, Form Custody, and related filings
- Manage financial reporting, GAAP compliance, tax planning, and end-to-end close cycles
- Work with auditors to ensure readiness for annual audits and FINRA examinations.
- Maintain and enhance internal controls, accounting systems, and reporting frameworks to support growth.
- Serve as a trusted advisor on capital management, operational risk, and compliance governance.
Requirements:
- Bachelor’s degree in accounting or finance
- CPA preferred; Series 27 license required
- 10 years of experience in finance and operations within a broker‑dealer environment
- Robust understanding of FINRA, SEC, and GAAP reporting
Salary : $230,000 - $250,000