Executive Vice President, Finance and Operations

Executive Vice President, Finance and Operations

About the Company

Prominent financial services company specializing in investment management & research services

Industry
Financial Services

Type
Public Company

About the Role

The Company is in search of an Executive Vice President of Finance and Operations to take on a pivotal role in overseeing self-clearing brokerage operations and affiliated entities. The successful candidate will be a key member of the executive leadership team, responsible for leading finance and accounting functions, regulatory and external financial reporting, and maintaining robust accounting controls. This executive will work closely with business unit leaders and functional teams to manage end-to-end financial processes, ensuring the preparation of consolidated financial statements and required disclosures in compliance with U.S. GAAP and SEC regulations. Key responsibilities include partnering with the CEO and senior leadership to enhance daily operations, leading the financial close process, supporting the CFO with financial analysis and strategic recommendations, and overseeing regulatory compliance and relationships with external auditors and regulators. Applicants for this role at The Company should have a Bachelor’s degree in accounting or finance, with an advanced degree and/or CPA strongly preferred, and a Series 27 certification. A minimum of 10 years' of progressive experience in finance and/or operations, including a background as a FINOP or in a similar senior role within a self-clearing broker-dealer environment, is required. The ideal candidate will have a deep knowledge of broker-dealer operations, regulatory reporting, and SEC/FINRA requirements, as well as strong analytical, organizational, and leadership skills. Experience in operations, finance, compliance, risk management, or treasury is a plus. The role demands a professional with the proven ability to collaborate effectively across various functional areas and levels of the organization, and who can handle sensitive and confidential information with the utmost discretion.

Hiring Manager Title
Chief Executive Officer

Travel Percent
Less than 10%

Functions

• Finance
• Operations