Executive Vice President, Finance and Operations

Executive Vice President, Finance and Operations

About the Company

Prominent financial services company specializing in investment management, research & trading services

Industry

Financial Services

Type

Privately Held

About the Role

The Company is in search of a strategic Executive Vice President (EVP) of Finance and Operations to take on a pivotal role in overseeing the financial management, operational performance, and regulatory compliance of its self-clearing proprietary broker-dealer and affiliates. The successful candidate will be a hands-on leader with deep expertise in broker-dealer operations, GAAP accounting, and SEC / FINRA reporting, and will be responsible for driving operational excellence, ensuring accurate financial reporting, and maintaining full compliance with regulatory and accounting standards. Key responsibilities include partnering with the CEO and senior leadership, identifying and leading operational improvement initiatives, performing P&L and margin analysis, and managing all financial and regulatory reporting.

Applicants for the EVP position at the company should have a Bachelor's degree in accounting or finance, with an advanced degree being a plus, and an active FINRA Series 27 license. A CPA is preferred, and a minimum of 10 years' experience in broker-dealer finance and operations, particularly in a FINOP or senior finance leadership role within a self-clearing environment, is required. The role demands a comprehensive knowledge of broker-dealer operations, FINRA / SEC regulations, and financial reporting requirements, as well as strong analytical, organizational, and communication skills. The ideal candidate will be a strategic thinker, detail-oriented, and proactive in driving process improvements, with the ability to build strong relationships and influence key decisions across the organization. Experience in related disciplines such as compliance, risk management, cash management, and treasury is highly desirable.

Hiring Manager Title

CEO

Travel Percent

Less than 10%

Functions

• Finance
• Operations