Executive Vice President, Finance and Operations
Listed on 2026-07-22
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Finance & Banking
Financial Compliance, Financial Manager, Risk Manager/Analyst, Regulatory Compliance Specialist
Executive Vice President, Finance and Operations About the Company
Prominent financial services company specializing in investment management, research & trading services.
IndustryFinancial Services
TypePrivately Held
About the RoleThe Company is seeking a strategic Executive Vice President (EVP) of Finance and Operations to oversee financial management, operational performance, and regulatory compliance of its self-clearing proprietary broker‑dealer and affiliates.
The successful candidate will be a hands‑on leader with deep expertise in broker‑dealer operations, GAAP accounting, and SEC/FINRA reporting, and will drive operational excellence, ensure accurate financial reporting, and maintain full compliance with regulatory and accounting standards.
Key Responsibilities- Partner with the CEO and senior leadership.
- Identify and lead operational improvement initiatives.
- Perform P&L and margin analysis.
- Manage all financial and regulatory reporting.
- Bachelor's degree in accounting or finance (advanced degree preferred).
- Active FINRA Series 27 license; CPA preferred.
- Minimum of 10 years of experience in broker‑dealer finance and operations, particularly 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.
- Strategic thinker, detail‑oriented, proactive in driving process improvements, able to build strong relationships and influence key decisions.
- Experience in compliance, risk management, cash management, and treasury is highly desirable.
Hiring Manager
Title:
CEO. Functions:
Finance, Operations
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