Vice President of Finance

Join the executive team at a specialized self-clearing broker-dealer and take charge of end-to-end brokerage operations. In this high-visibility role, reporting directly to the CEO, you'll lead the design and maintenance of accounting processes, financial reporting, and internal controls. You'll ensure GAAP- and SEC-compliant financial statements while staying ahead of evolving regulations and industry standards. This position offers the opportunity to make a meaningful impact in a dynamic environment.

• Partner with the CEO and senior leadership to manage daily operations, drive process improvements, and implement strategic recommendations.
• Prepare financial statements and maintain Broker-Dealer records in compliance with GAAP and regulatory requirements, ensuring timely monthly, quarterly, and annual closes.
• Support the CFO with financial analysis, reporting, and strategic insights.
• Lead regulatory compliance efforts, monitor industry developments, and manage relationships with external stakeholders, including auditors and regulators.
• Oversee tax planning and compliance, supervise financial responsibilities under SEC rules, and align financial systems with accounting processes.
• Manage key reporting and compliance activities, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, SIPC filings, audits, FINRA exams, and due diligence reviews.

• Bachelor's degree in accounting or finance required; advanced degree and CPA designation strongly preferred.
• FINRA Series 27 license required.
• Minimum 10 years of experience in Operations or Finance as a FINOP or in a comparable role at a self-clearing broker-dealer, with deep expertise in broker-dealer operations and regulatory reporting.
• Experience in Operations, Finance, Compliance, Risk Management, or Treasury is highly desirable.