Taylor Root
This range is provided by Taylor Root. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $200,000.00/yr - $250,000.00/yr
EVP, Finance & Operations
Location:
New York, NY, Hybrid
Compensation: 200,000 – $220,000 + bonus
We’ve been
exclusively
engaged by a leading self-clearing proprietary broker-dealer headquartered in New York to identify an accomplished
EVP, Finance & Operations.
This is an ideal role for a finance professional with deep broker-dealer operational expertise and a strong command of
regulatory accounting and FINOP responsibilities .
You’ll oversee the finance, accounting, and operational infrastructure, driving process improvement, ensuring compliance with
SEC, FINRA, and GAAP requirements , and shaping the firm’s financial and operational strategy.
Why This Role:
Executive-level visibility reporting directly to the CEO.
Opportunity to shape the firm’s finance and operations infrastructure.
Broad, hands-on leadership role with end-to-end ownership of financial, regulatory, and operational outcomes.
Responsibilities:
Oversee all finance, accounting, and self-clearing brokerage operations for the firm and its affiliates.
Lead the preparation and review of FOCUS reports, Net Capital computations, SSOI, Form Custody, and related regulatory filings.
Collaborate with the CEO and senior leadership on strategic financial initiatives and operational process enhancements.
Manage financial reporting, GAAP compliance, tax planning, and end-to-end close cycles (month, quarter, year).
Partner with auditors and regulators to ensure readiness for annual audits and FINRA examinations.
Maintain and enhance internal controls, accounting systems, and reporting frameworks to support growth.
Serve as a trusted advisor on capital management, operational risk, and compliance governance.
Requirements:
Bachelor’s degree in accounting or finance
CPA preferred; Series 27 license required
8+ years of experience in finance and operations within a broker‑dealer environment
Deep understanding of FINRA, SEC, and GAAP reporting requirements.
Seniority Level Director
Employment Type Full-time
Job Function Finance and Accounting/Auditing
Industries Financial Services and Investment Management
#J-18808-Ljbffr
Base pay range $200,000.00/yr - $250,000.00/yr
EVP, Finance & Operations
Location:
New York, NY, Hybrid
Compensation: 200,000 – $220,000 + bonus
We’ve been
exclusively
engaged by a leading self-clearing proprietary broker-dealer headquartered in New York to identify an accomplished
EVP, Finance & Operations.
This is an ideal role for a finance professional with deep broker-dealer operational expertise and a strong command of
regulatory accounting and FINOP responsibilities .
You’ll oversee the finance, accounting, and operational infrastructure, driving process improvement, ensuring compliance with
SEC, FINRA, and GAAP requirements , and shaping the firm’s financial and operational strategy.
Why This Role:
Executive-level visibility reporting directly to the CEO.
Opportunity to shape the firm’s finance and operations infrastructure.
Broad, hands-on leadership role with end-to-end ownership of financial, regulatory, and operational outcomes.
Responsibilities:
Oversee all finance, accounting, and self-clearing brokerage operations for the firm and its affiliates.
Lead the preparation and review of FOCUS reports, Net Capital computations, SSOI, Form Custody, and related regulatory filings.
Collaborate with the CEO and senior leadership on strategic financial initiatives and operational process enhancements.
Manage financial reporting, GAAP compliance, tax planning, and end-to-end close cycles (month, quarter, year).
Partner with auditors and regulators to ensure readiness for annual audits and FINRA examinations.
Maintain and enhance internal controls, accounting systems, and reporting frameworks to support growth.
Serve as a trusted advisor on capital management, operational risk, and compliance governance.
Requirements:
Bachelor’s degree in accounting or finance
CPA preferred; Series 27 license required
8+ years of experience in finance and operations within a broker‑dealer environment
Deep understanding of FINRA, SEC, and GAAP reporting requirements.
Seniority Level Director
Employment Type Full-time
Job Function Finance and Accounting/Auditing
Industries Financial Services and Investment Management
#J-18808-Ljbffr