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EVP - Finance & Operations

, NY, United States

Broadgate are currently supporting a broker-dealer based out of New York who are looking to hire an EVP Finance & Operations.

Accountabilities

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

Experience

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 and assist on decision making

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