Chief Financial Officer / Financial Operations Principal

Hold Brothers; New York (NY); On-site; USD 240,000 - 300,000; Full time

Benefits offered by this job

Paid time off

Health insurance

Dental insurance

Job summary

Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to oversee day-to-day accounting, regulatory reporting and FINOP responsibilities. Reporting to the CEO, you will drive financial controls, tax filings, payroll, reconciliations, and vendor management while ensuring compliance with SEC, FINRA and internal policies.

You will collaborate with senior management to consolidate financial statements and disclosures, supervise accounting teams, and

Qualifications

• Degree in Accounting or Finance required; advanced degree is a plus.
• Series 27 required.
• Experience with regulatory reporting and compliance.
• CPA a plus but not required.

Responsibilities

• Handle day-to-day accounting including financial and regulatory reporting.
• Oversee payroll, AP/AR, vendor management, tax filings.
• Prepare consolidated financial statements and disclosures.
• Maintain relationships with regulators and auditors.
• Support annual audit and FINRA examinations.
• Ensure timely month-end/quarter-end close.
• Supervise FINOP responsibilities.

Skills

Series 27

FINOP experience

Regulatory reporting

Accounting principles

Leadership

Education

Bachelor's degree in Accounting or Finance

Advanced degree preferred

Tools

Great Plains

ADP Workforce Now

QuickBooks

Job description

Job Summary

Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking a CFO/FINOP to be responsible for our Accounting and Regulatory Filing functions. Reporting to the CEO, this role is responsible for hands‑on day‑to‑day accounting including, but not limited to: financial and regulatory reporting, accounting controls, payroll, account reconciliations, vendor management, accounts payables/receivables, tax filings, and all other related FINOP and accounting responsibilities. This individual will collaborate with business unit and functional teams for the end‑to‑end process in producing consolidated financial statements and related disclosures. Series 27 is required.

Essential Functions

• Partner with CEO, CFO and senior management to work on day to day accounting and FINOP responsibilities of self‑clearing proprietary trading firm.
• Preparing financials and books and records for the Broker‑Dealer and ensuring all regulatory reporting requirements are met.
• All account reconciliations (weekly, monthly, quarterly, and annual)
• All payroll, and all payroll processing related functions including: ADP Workforce Now Time & Attendance administration, ensuring accuracy of payroll submissions, new employee set‑up, management of internal and external payroll audits, payroll tax reporting and reconciliations, etc.
• Ensuring accurate and timely completion of the month‑end, quarter‑end, and year‑end close process.
• Serve as main point of contact for all banking relationships.
• 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.
• Contributing value‑added and strategic insight to organizational areas within the Firm and other stakeholders throughout the business.
• Managing all tax filings, planning, and compliance with all required federal, state, local, payroll, property and other applicable taxes.
• Supervision and/or performance of the Broker‑Dealer’s responsibilities under all financial responsibility rules promulgated pursuant to the provisions of the Securities Exchange Act of 1934 (Exchange Act).
• Collaborating with all departments to ensure financial information and new systems will efficiently and accurately consolidate with accounting processes and systems.
• Facilitating and/or performing the following duties:

• Accounts Payables/Account Receivables
• Account and vendor reconciliations
• Vendor management
• FOCUS Reports
• Net Capital Computations
• Annual Audit Support
• FINRA Examination Support
• Accounting Due Diligence
• Bookkeeping
• Other duties as assigned

• Degree in Accounting or Finance required; Advanced degree is a plus
• Series 27 required
• Experience with Great Plains, ADP Workforce Now, and QuickBooks
• CPA a plus but not required

• Minimum of 10+ years combined experience in accounting and as a FINOP.
• Demonstrable experience working with FINRA, SEC, and expert knowledge of regulatory reporting requirements.

Paid time off, Health insurance, Dental insurance

Salary: $240,000 - $300,000