Senior Treasury​/Liquidity Management – Broker-Dealer

Senior Treasury / Liquidity Management – Broker-Dealer New York City | Financial Services

I’m working with a highly regarded, growing investment bank and broker-dealer that is looking to add a senior Treasury / Liquidity Management professional to its platform.

This is a high-visibility role focused on liquidity, funding and broker-dealer balance sheet management. As the firm continues to grow, execute larger transactions and expand its underwriting activity, this individual will help further institutionalize the Treasury function while remaining directly involved in its day-to-day execution.

The firm is specifically interested in professionals who have operated within boutique or middle-market broker-dealers/investment banks, where Treasury teams are lean and individuals typically have broad ownership rather than highly specialized responsibilities.

• Manage daily liquidity and cash requirements across the broker-dealer
• Oversee short-term funding, including day loans and other borrowing arrangements
• Manage secured funding facilities and bank counter party relationships
• Monitor broker-dealer balance sheet usage and liquidity constraints
• Support liquidity requirements associated with equity and fixed-income underwriting
• Understand settlement activity and its impact on daily funding needs
• Evaluate the liquidity and capital implications of larger transactions
• Partner closely with Finance, Operations, Regulatory Reporting and Sales & Trading
• Maintain a strong working understanding of SEC Rule 15c3-1 / Net Capital requirements
• Help strengthen and further develop the firm’s Treasury and liquidity-management infrastructure
• Provide strategic guidance as the business and balance sheet continue to scale

The strongest candidates will likely be Treasurers, Deputy Treasurers, Heads of Liquidity, Treasury Directors, or senior Treasury/Liquidity Management professionals from boutique or middle-market broker-dealers and investment banks.

Candidates should have hands-on experience across several of the following areas:

• Broker-dealer liquidity and cash management
• Balance sheet management
• Day loans and short-term borrowing
• Secured funding
• Bank and lender counter parties
• Equity and/or fixed-income underwriting
• Trade settlement and associated funding requirements
• Broker-dealer net capital considerations

This is not a traditional Risk position. The firm is looking for someone who has personally managed liquidity and funding within a broker-dealer environment and understands the mechanics of the balance sheet.

Broad, hands-on experience within a lean organization is significantly more relevant than highly specialized experience within a large global bank.