Executive Vice President of Finance - Broker Dealer

Currently partnered with a growing self-clearing Broker Dealer looking for a Executive Vice President of Finance. The role is HYBRID in NYC, with 3 days a week in office. The successful candidate will be reporting into the COO.

Responsibilities

• Collaborate with the CEO and senior leadership to oversee the daily operations of a proprietary trading firm
• Work alongside management to pinpoint process enhancements and propose necessary changes
• Execute profit and loss and margin calculations to ensure data reconciliation
• Prepare financial statements and maintain records for the Broker-Dealer in compliance with GAAP, ensuring all regulatory reporting obligations are fulfilled
• Assist the CFO in providing essential support for financial analysis, report generation, and strategic recommendations
• Ensure timely and precise completion of end-of-month, quarter-end, and year-end closing processes
• Cultivate and maintain relationships with key external entities, including regulatory bodies and auditors, concerning the Broker-Dealer
• Offer strategic insights and value-added perspectives to various organizational sectors and stakeholders across the Firm
• Oversee tax planning and ensure compliance with federal, state, local, payroll, property, and other relevant taxes
• Fulfill the Broker-Dealer's obligations under the financial responsibility rules stipulated by the Securities Exchange Act of 1934

Key Tasks

• Prepare and analyze FOCUS Reports, Net Capital Computations, Supplemental Schedule of Income (SSOI), Form Custody, and Brokerage Statement Analysis
• Manage activities related to Securities Investor Protection Corporation (SIPC), Annual Audit, and Client Examination Support
• Conduct accounting due diligence, maintain accurate bookkeeping, and undertake other assigned responsibilities

Qualifications

• Bachelor's degree in Accounting or Finance is mandatory; an advanced degree is advantageous
• 10+ years of experience in Broker Dealer financial operations or regulatory reporting role
• Series 27 license is required
• Extensive knowledge of broker-dealer operations and regulatory reporting requirements from Client, SEC, and other regulatory bodies
• Broad experience in Operations, Finance, Compliance, Risk Management, Cash Management, and Treasury is advantageous
• CPA certification is preferred but not mandatory

If interested, don't wait to apply.