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About the Opportunity
A leading U.S. proprietary trading firm has retained Axe Recruiting to identify an Executive Vice President of Finance & Operations to join their senior leadership team.
This is a high-impact opportunity for an experienced finance executive to oversee the financial operations of a self-clearing broker-dealer, manage all regulatory filings, and serve as a key strategic partner to the CEO. The EVP will drive compliance excellence, reporting accuracy, and operational scalability across both the firm and its affiliates.
Key Responsibilities
Financial & Regulatory Reporting
Prepare GAAP-compliant financial statements and disclosures
Lead FOCUS reporting, Net Capital computations, Form Custody, SSOI, and SIPC filings
Maintain broker-dealer books and records per SEC and FINRA standards
Close Processes
Direct month-end, quarter-end, and year-end close cycles
Reconcile profit & loss, margin calculations, and general ledger activity
Audit & Regulatory Liaison
Serve as primary contact for FINRA, SEC, SIPC, and external auditors
Lead annual audits, exams, and accounting due diligence efforts
Operational Oversight
Supervise clearing and settlement reconciliations
Oversee daily cash movements and compliance with financial responsibility rules under the Exchange Act
Tax Planning & Compliance
Manage all required federal, state, local, payroll, and property tax filings
Implement tax optimization strategies across entities
Process Improvement
Partner with executive leadership to enhance operational workflows
Modernize controls across Treasury, Cash Management, and Finance functions
Cross-Functional Collaboration
Interface with Compliance, Risk, and Technology to align controls, systems, and reporting standards
Qualifications
Education & Certification
Bachelor’s degree in Accounting or Finance (required)
MBA or Master’s in Accounting (preferred)
Series 27 (FINOP) license (required)
CPA (preferred, not required)
Experience & Skills
10+ years in broker-dealer Finance or Operations
5+ years in a FINOP or senior finance leadership role at a self-clearing firm
Expert-level understanding of FINRA and SEC financial reporting requirements
Deep knowledge of GAAP and financial statement preparation
Proven leadership in Treasury, Cash Management, Tax Compliance, and Operational Risk
Strong interpersonal communication and analytical capabilities
Compensation & Benefits
Base Salary: $200,000 – $250,000 USD (commensurate with experience)
Bonus: Performance-based annual incentive
Benefits: Medical, Dental, and Vision Insurance, 401(k) with Company Match, Generous PTO
Flexibility: Hybrid work model
Relocation & Sign-On Bonus: Available for top-tier candidates
Why This Role Matters
You’ll serve as a financial steward for a dynamic proprietary trading firm—ensuring regulatory alignment, operational precision, and executive-level strategy execution. This is not just a finance role; it’s an opportunity to shape the infrastructure and future of a highly active U.S. trading firm.
How to Apply
For confidential consideration, please submit your résumé and a brief summary of your experience managing broker-dealer finance operations to:
📧 [email protected]
🌐 www.axerecruiting.com
Regulatory Reference Links
To apply for this job email your details to kinnari@axerecruiting.com