Executive Vice President of Finance

Hold Brothers Capital, LLC; United States; Vor Ort; USD 200.000 - 240.000; Vollzeit

Zusammenfassung

A leading self-clearing broker-dealer is seeking an EVP of Finance & Operations to manage brokerage operations and serve on the executive team. This role involves financial leadership, preparing statements in compliance with GAAP, and overseeing regulatory tasks. Candidates must have a Bachelor's in Finance or Accounting, CPA preferred, and at least 10 years of relevant experience. Strong analytical skills and discretion are essential for success in this position, along with a collaborative mindset.

Qualifikationen

• 10+ years of experience in Operations/Finance as a FINOP or similar role.
• Expertise in broker-dealer operations and regulatory reporting.
• Experience in Operations, Finance, Compliance, Risk Management, or Treasury is a plus.

Aufgaben

• Oversee daily operations and identify process improvements.
• Prepare financials and maintain accurate broker-dealer records.
• Support CFO with financial analysis and strategic recommendations.
• Manage relationships with external stakeholders, including auditors.
• Facilitate key financial reporting and compliance tasks.

Kenntnisse

Analytical skills

Collaboration

Discretion with sensitive information

Ausbildung

Bachelor’s in accounting or finance

Advanced degree and CPA

Series 27

Jobbeschreibung

Pay Range

• Base pay: $200,000.00/yr - $240,000.00/yr (actual pay based on skills and experience)

Hold Brothers Capital, LLC, a leading self-clearing proprietary broker‑dealer, is seeking an EVP of Finance & Operations to oversee the self‑clearing brokerage operations, related affiliates, and serve as a member of our executive team. Reporting to the CEO, this role delivers finance and accounting leadership, external filing, and financial reporting, and establishes accounting controls and functions. The individual will collaborate with business unit and functional teams across the firm to produce consolidated financial statements and disclosures in accordance with GAAP and SEC requirements, while monitoring emerging SEC guidelines and new U.S. GAAP standards.

Responsibilities

• Collaborate with the CEO and senior management to oversee daily operations, identify process improvements, and implement recommendations.
• Prepare financials and maintain accurate broker‑dealer records in compliance with GAAP and regulatory standards, ensuring timely completion of monthly, quarterly, and annual closes.
• Support the CFO with financial analysis, reporting, and strategic recommendations.
• Oversee regulatory compliance, monitor developments, and manage relationships with external stakeholders, including auditors and regulators.
• Handle tax planning and compliance, supervise financial responsibilities under SEC rules, and align financial systems with accounting processes.
• Facilitate key financial reporting and compliance tasks, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, SIPC, audits, FINRA exams, and due diligence.

Qualifications

• Bachelor’s in accounting or finance required; advanced degree and CPA preferred.
• Series 27 required.
• 10+ years of experience in Operations/Finance as a FINOP or similar role at a self‑clearing broker‑dealer, with expertise in broker‑dealer operations and regulatory reporting.
• Strong analytical skills, discretion with sensitive information, and ability to collaborate across organizational areas.
• Experience in Operations, Finance, Compliance, Risk Management, or Treasury is a plus.

Seniority level: Executive

Employment type: Full-time

Job function: Accounting/Auditing

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