EVP Finance & Operations

Posted 22 March 2024
Salary Negotiable
Job type Permanent
Discipline Finance, Accounting & Audit
Contact NameConnor Nurse

Job description


  • Partner with CEO and senior management to work on day to day operations of proprietary trading firm
  • Work with management to identify process improvements and make recommendations for change
  • Conduct P & S and margin calculations to reconcile data
  • Preparing financials and books and records for the Broker-Dealer according to GAAP and ensuring all regulatory reporting requirements are met
  • Work with the CFO to provide relevant support to facilitate financial information analyses, reports, and recommendations
  • Ensuring accurate and timely completion of the month-end, quarter-end, and year-end close process
  • Keeping abreast of regulatory developments and making strategic recommendations for process/control modifications and the oversight of their implementation
  • Maintaining relationships with key external stakeholders (regulatory/government bodies, external auditors) as it pertains to the Broker-Dealer


  • Series 27 is required
  • CPA preferred but not required
  • 10+ years relevant broker-dealer experience working in Operations and/or Finance as a FINOP or Finance management position at a self-clearing broker-dealer
  • Expert knowledge of broker-dealer operations, and regulatory reporting needs including FINRA, SEC, and other agencies as required
  • Demonstrated analytical skills including the ability to synthesize quantitative and qualitative data to draw conclusions a