EVP Finance & Operations

Executive Vice President, Finance & Operations

About the Role

We are seeking a highly experienced and strategic Executive Vice President (EVP) of Finance & Operations to oversee the financial management, operational performance, and regulatory compliance of a self-clearing proprietary broker-dealer and its affiliates. Reporting directly to the CEO, this executive will play a critical role in driving operational excellence, ensuring accurate financial reporting, and maintaining full compliance with regulatory and accounting standards.

This position requires a hands-on leader with deep expertise in broker-dealer operations, GAAP accounting, and SEC/FINRA reporting, combined with the ability to collaborate effectively across departments and provide strategic insight to senior leadership.

Key Responsibilities

● Partner closely with the CEO and senior leadership to oversee daily operations of a proprietary trading firm.
● Identify opportunities for operational improvement and efficiency, providing recommendations and leading implementation efforts.
● Perform P&L and margin analysis to ensure data accuracy and proper reconciliation.
● Prepare and maintain financial statements and records in accordance with GAAP and regulatory standards.
● Oversee all external financial reporting, including FOCUS Reports, Net Capital Computations, SSOI, Custody Forms, SIPC filings, and annual audits.
● Ensure full compliance with the Securities Exchange Act of 1934 and other applicable financial responsibility rules.
● Collaborate with the CFO and finance team to deliver financial analyses, reports, and insights that support strategic decision-making.
● Manage all month-end, quarter-end, and year-end closing processes accurately and efficiently.
● Stay informed of emerging SEC and U.S. GAAP standards, ensuring timely adoption of new regulations and accounting standards.
● Maintain strong relationships with regulators, external auditors, and key financial stakeholders.
● Lead tax planning and compliance activities across all required federal, state, and local jurisdictions.
● Provide leadership across cross-functional teams to ensure efficient integration of systems, financial reporting, and operational processes.
● Support and coordinate regulatory examinations and due diligence reviews.

Qualifications

● Bachelor’s degree in Accounting or Finance required; an advanced degree is a plus.
● Active FINRA Series 27 license required.
● CPA preferred, though not mandatory.
● Minimum of 10 years of experience in broker-dealer finance and operations, with experience in a FINOP or senior finance leadership role within a self-clearing environment.
● Comprehensive knowledge of broker-dealer operations, FINRA/SEC regulations, and financial reporting requirements.
● Strong analytical, organizational, and communication skills.
● Proven ability to synthesize complex data, manage multiple priorities, and influence key decisions.
● High degree of integrity and discretion when handling sensitive or confidential information.
● Experience in related disciplines such as Compliance, Risk Management, Cash Management, and Treasury is highly desirable.

Personal Attributes

● Strategic thinker with a hands-on leadership style.
● Detail-oriented, organized, and proactive in driving process improvements.
● Collaborative and able to build strong working relationships across all levels of the organization.
● Composed under pressure with a strong sense of accountability and professionalism.