VP of Finance & Accounting

As VP of Finance and Accounting, you’ll be the firm’s senior finance leader — but also its core executor. This is a roll-up-your-sleeves role, ideal for someone who is comfortable both building strategy and completing the day-to-day accounting, reporting, and compliance tasks themselves. The VP of Finance and Accounting is also responsible for managing the financial activities of the company, adhering to generally accepted accounting principles(GAAP) and the rules established by the Securities and Exchange Commission(“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and other regulatory entities.

You will work directly with the CEO and be deeply involved in financial decision-making.

• Own and execute all accounting and finance operations — from data entry to month-end close to management-level reporting.
• Handle general ledger accounting, journal entries, account reconciliations, and accruals.
• Develop and manage the budget and forecasts; track performance against plan and provide actionable insights.
• Lead and perform cash management activities, including daily cash tracking, funding settlements, managing reserve requirements, and optimizing liquidity across accounts.
• Monitor capital adequacy, liquidity, and cash flow to ensure compliance with internal policies and regulatory thresholds.
• Identify and establish policies and procedures to manage Company risk, including trading, counter party, and other fraud risks.
• Prepare all regulatory reports for submission: FOCUS reports, Net Capital computations, Customer Reserve calculations, and other FINRA/SEC/SIPC filings.
• Design, document, and improve financial processes, internal controls, and policies in a way that is scalable but practical.
• Monitor counter party, ACH, positional, and other risks associated with the Company’s various product lines.
• Partner with compliance, human resources, legal and technology to develop and identify operational efficiencies, systems, controls, and procedures for improvement.
• Partner with the Director of Trade Operations and Risk in establishing, executing, and maintaining the Risk Framework and policies across all products, including new activity assessments, operational risk/loss events, scenario analysis, risk and control self-assessments (RCSA), and emerging risk identification.
• Develop and maintain operational risk metrics and reporting, including capital usage, cost of carry, position movements, and inventory positions.
• Manage relationships with external auditors, regulators, banks, and tax advisors.
• Build and maintain accounting and reporting tools, including Quick Books, and Excel models
• Own and coordinate audits and tax filings, working closely with external auditors, tax advisors, and compliance vendors.
• File federal, state, and local tax documents by preparing property tax returns, state pages, and federal, state, and municipal returns, extensions, and quarterly payments.

• Self-starter who can operate autonomously, prioritize effectively, and own the function end-to-end.
• Ability to thrive in a small team, wearing multiple hats, and switching between strategic and tactical work.
• Detail-oriented, strategic thinker with analytical problem-solving capabilities.
• Excellent judgment, conflict resolution skills and interpersonal skills.
• Demonstrated ability to execute quickly, work under pressure and handle time sensitive items.
• Trustworthy and ability to maintain confidentiality.
• Exceptional verbal, written, and visual communication skills.
• Ability to juggle many different projects and priorities simultaneously.
• Comfortable with ambiguity, adapts to change and navigates organizations with confidence.
• High level of integrity and dependability with a strong sense of urgency and results-orientation.

• Master’s degree in accounting, business accounting, or finance.
• Certified Public Accountant license.
• FINRA licenses:
  Series 99
• Demonstrated understanding and experience in corporate finance, advanced accounting, and regulatory issues.
• Experience working at a broker-dealer preferred.
• FINOP experience preferred.
• Hands-on experience with FINRA/SEC regulatory reporting, including preparation of FOCUS reports and Net…