EVP Finance

Our client, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance and Operations to lead the firm's financial and operational strategies.

This executive-level role will be responsible for overseeing all finance and brokerage operations, regulatory compliance, and strategic financial planning. Reporting directly to the CEO, the EVP will work cross-functionally to ensure accurate financial reporting, operational efficiency, and compliance with SEC and GAAP standards, while also contributing to the firm’s executive leadership.

What YOU get to DO at this growing company:

• Collaborate closely with the CEO and senior management on firm-wide strategic initiatives and day-to-day operations.

• Oversee proprietary trading operations, regulatory reporting, accounting controls, and financial statement production.

• Lead implementation and continuous improvement of finance and accounting processes.

• Prepare financials and ensure all books and records comply with GAAP and SEC reporting requirements.

• Conduct P&S and margin calculations for data reconciliation and accuracy.

• Provide financial insight and analysis to support business decision-making.

• Oversee month-end, quarter-end, and year-end closing processes.

• Monitor and implement emerging regulatory requirements and accounting standards.

• Maintain relationships with external stakeholders, including auditors and regulatory bodies.

• Lead the firm’s responsibilities under the Securities Exchange Act of 1934, including the filing of FOCUS Reports, Net Capital Computations, SSOI, and SIPC.

• Manage tax planning and compliance across federal, state, and local levels.

• Guide accounting due diligence, audit support, and financial risk oversight.

What you NEED to SUCCEED in this challenging role:

• B.S. in Accounting or Finance required; an advanced degree is a plus.

• Series 27 license is required.

• CPA designation preferred but not mandatory.

• 10+ years of broker-dealer experience in finance or operations, preferably in a self-clearing environment.

• Expert knowledge of FINRA, SEC, and other regulatory requirements for broker-dealers.

• Demonstrated experience in financial reporting, regulatory filings, and operational leadership.

• Strong interpersonal, analytical, and leadership skills.

• Ability to manage sensitive information with integrity and discretion.

• Experience in cross-disciplinary functions, including Risk Management, Compliance, and Treasury, is a plus.

What's in it for YOU?

• Competitive annual salary, depending on experience.

• Leadership position within a top-tier proprietary trading firm.

• Opportunity to work directly with executive leadership and shape firm-wide financial strategy.

• Exposure to regulatory bodies, advanced financial systems, and a dynamic trading environment.

• Influence over key areas including finance, operations, compliance, and strategic growth.