Finance Executive: Broker-Dealer & Regulatory Reporting

Phaxis; New York (NY); On-site; USD 140,000 - 180,000; Full time

Job summary

Phaxis seeks a senior finance professional to lead day-to-day financial operations for a broker-dealer environment in New York. You will manage close cycles, ensure GAAP compliance, and provide analysis to guide strategic decisions.

The role requires FINOP responsibilities, regulatory reporting expertise, and strong collaboration with executives, auditors, and regulators. CPA/advanced degree and Series 27 are preferred.

Qualifications

• Bachelor's degree in Accounting, Finance, or related field required; CPA or advanced degree preferred.
• Active Series 27 license required.
• 7+ years of relevant Finance or Operations experience, including FINOP responsibilities.
• Prior experience supporting a self-clearing broker-dealer strongly preferred.
• Strong knowledge of broker-dealer accounting, regulatory reporting, net capital requirements, and SEC/Client financial regulations.
• Hands-on experience preparing or overseeing FOCUS Reports and other broker-dealer regulatory filings.

Responsibilities

• Partner with executive leadership to manage day-to-day financial operations, identify process improvements, and implement enhanced procedures and controls.
• Oversee broker-dealer accounting and maintain accurate financial records in accordance with GAAP and regulatory requirements.
• Manage monthly, quarterly, and annual financial close processes and ensure accurate and timely financial reporting.
• Provide financial analysis, reporting, forecasting, and recommendations to support strategic business decisions.
• Oversee broker-dealer regulatory reporting and monitor changes to SEC, Client, and other applicable requirements.
• Prepare and review regulatory filings and calculations, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, and SIPC filings.
• Maintain appropriate financial controls and ensure compliance with applicable SEC financial responsibility rules.
• Coordinate regulatory examinations, financial audits, due diligence requests, and interactions with external auditors and regulators.
• Support tax planning, reporting, and compliance activities in partnership with internal and external resources.
• Evaluate accounting systems, financial processes, and controls to ensure they effectively support the organization's regulatory and operational requirements.
• Collaborate across Finance, Operations, Compliance, Risk, and Treasury on regulatory and financial initiatives.

Skills

Regulatory reporting

Financial analysis

GAAP knowledge

Internal controls

Communication with leadership

Discretion with confidential info

Cross-functional collaboration

Education

Bachelor's degree in Accounting or Finance

CPA or advanced degree preferred

Tools

FINOP

Job description

Phaxis seeks a senior finance professional to lead day-to-day financial operations for a broker-dealer environment in New York. You will manage close cycles, ensure GAAP compliance, and provide analysis to guide strategic decisions.

The role requires FINOP responsibilities, regulatory reporting expertise, and strong collaboration with executives, auditors, and regulators. CPA/advanced degree and Series 27 are preferred.