Director, Institutional Financial Operations (Self-Clearing)

Axiom Recruit; New York (NY); On-site; USD 180,000 - 260,000; Full time

Job summary

Axiom is partnering with an established technology-led US brokerage to build out institutional financial operations. The Director will own regulatory net capital and customer reserve calculations, shaping controls for a growing broker-dealer.

This newly created role offers direct exposure to CFO-level leadership and ownership of critical financial infrastructure. You will lead efforts across Finance, Accounting, Clearing Operations and Technology to scale reporting, automate calculations and

Qualifications

• 8+ years' experience in broker-dealer finance, financial operations, brokerage accounting or financial control.
• Strong practical understanding of SEC Rules 15c3-1 and 15c3-3.
• Experience personally performing net capital and customer reserve calculations.
• Strong understanding of broker-dealer financial reporting, controls and regulatory obligations.
• FINRA Series 27 qualification, or willingness and ability to obtain within 90 days of joining.
• Ability to operate independently while collaborating with senior finance, operations and technology stakeholders.

Responsibilities

• Own regulatory net capital and customer reserve calculations under SEC Rules 15c3-1 and 15c3-3.
• Develop the financial control infrastructure to support growth of institutional brokerage and self-clearing capabilities.
• Manage financial workflows covering liquidity, funding, cash reconciliations and clearing-related suspense accounts.
• Partner with Finance and Technology teams to develop automated, scalable regulatory calculations and reporting processes.
• Support capital forecasting, liquidity analysis, operational risk management and regulatory examinations.
• Work closely with Clearing Operations and Institutional teams on custody, settlement and omnibus brokerage arrangements.
• Help establish processes and controls capable of supporting a more complex institutional operating environment.

Skills

Broker-dealer finance

Financial operations

Accounting background

Regulatory reporting

Independence

Cross-functional collaboration

Job description

Axiom is partnering with an established technology-led US brokerage to build out institutional financial operations. The Director will own regulatory net capital and customer reserve calculations, shaping controls for a growing broker-dealer.

This newly created role offers direct exposure to CFO-level leadership and ownership of critical financial infrastructure. You will lead efforts across Finance, Accounting, Clearing Operations and Technology to scale reporting, automate calculations and