EVP of Finance Job New York New York USA,Finance & Banking

Partner with executive leadership to manage day-to-day financial operations, identify process improvements, and implement enhanced procedures and controls.
Oversee broker-dealer accounting and maintain accurate financial records in accordance with GAAP and applicable regulatory requirements.
Manage monthly, quarterly, and annual financial close processes and ensure accurate and timely financial reporting.
Provide financial analysis, reporting, forecasting, and recommendations to support strategic business decisions.
Oversee broker-dealer regulatory reporting and monitor changes to SEC, Client, and other applicable requirements.
Prepare and review regulatory filings and calculations, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, and SIPC filings.
Maintain appropriate financial controls and ensure compliance with applicable SEC financial responsibility rules.
Coordinate regulatory examinations, financial audits, due diligence requests, and interactions with external auditors and regulators.
Support tax planning, reporting, and compliance activities in partnership with internal and external resources.
Evaluate accounting systems, financial processes, and controls to ensure they effectively support the organization's regulatory and operational requirements.
Collaborate across Finance, Operations, Compliance, Risk, and Treasury on regulatory and financial initiatives.

Key Responsibilities

Partner with executive leadership to manage day-to-day financial operations, identify process improvements, and implement enhanced procedures and controls.
Oversee broker-dealer accounting and maintain accurate financial records in accordance with GAAP and applicable regulatory requirements.
Manage monthly, quarterly, and annual financial close processes and ensure accurate and timely financial reporting.
Provide financial analysis, reporting, forecasting, and recommendations to support strategic business decisions.
Oversee broker-dealer regulatory reporting and monitor changes to SEC, Client, and other applicable requirements.
Prepare and review regulatory filings and calculations, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, and SIPC filings.
Maintain appropriate financial controls and ensure compliance with applicable SEC financial responsibility rules.
Coordinate regulatory examinations, financial audits, due diligence requests, and interactions with external auditors and regulators.
Support tax planning, reporting, and compliance activities in partnership with internal and external resources.
Evaluate accounting systems, financial processes, and controls to ensure they effectively support the organization's regulatory and operational requirements.
Collaborate across Finance, Operations, Compliance, Risk, and Treasury on regulatory and financial initiatives.

Qualifications

Bachelor's degree in Accounting, Finance, or a related discipline required; CPA or advanced degree preferred.
Active Series 27 license required.
7+ years of relevant Finance or Operations experience, including FINOP responsibilities within a broker-dealer environment.
Prior experience supporting a self-clearing broker-dealer strongly preferred.
Strong knowledge of broker-dealer accounting, regulatory reporting, net capital requirements, and SEC/Client financial regulations.
Hands-on experience preparing or overseeing FOCUS Reports and other broker-dealer regulatory filings.
Strong analytical, financial reporting, and problem-solving capabilities.
Ability to handle confidential financial and regulatory information with discretion.
Experience across Operations, Compliance, Risk Management, or Treasury is beneficial.
Strong communication skills with the ability to work effectively with executive leadership, regulators, auditors, and cross-functional teams.