Confidential
Executive Vice President of Finance
About the Company
Established self-clearing broker-dealer
Industry Accounting
Type Privately Held
About the Role
The Executive Vice President of Finance will be responsible for playing key executive leadership role overseeing the full spectrum of financial and accounting functions across the organization, including the design, implementation and maintenance of financial processes, internal controls, and reporting systems that ensure accuracy, compliance, and operational efficiency. You will be responsible for preparing and reviewing financial statements in accordance with applicable accounting standards, managing regulatory financial reporting (e.g., GAAP and SEC requirements), and directing monthly, quarterly and annual close cycles. Partnering closely with the CEO and senior leadership, you will provide strategic financial insights, drive process improvements, support budgeting and planning activities, and help identify opportunities to strengthen financial performance. Additionally, you will manage relationships with external stakeholders and ensure that all financial operations adhere to regulatory and industry standards.
You should have extensive experience in finance and operations within highly regulated environments, especially broker-dealer, financial services or similar sectors. You should have deep expertise in financial reporting, regulatory compliance, and operational finance. A Bachelor’s degree in finance, accounting or a related discipline is required, and an advanced degree (e.g., MBA) and professional credentials such as CPA are strongly preferred. Experience with regulatory filings and financial reporting specific to your industry, including Broker-Dealer compliance and reporting requirements, is essential, as is the ability to lead complex financial and accounting functions independently. Excellent leadership, analytical and communication skills are critical to collaborate effectively with executive leadership, manage external audits and regulatory exams, and drive financial integrity and strategic decision-making throughout the organization.
Hiring Manager Title Chief Executive Officer (CEO)
Travel Percent Less than 10%
Functions
Finance
About the Company
Established self-clearing broker-dealer
Industry Accounting
Type Privately Held
About the Role
The Executive Vice President of Finance will be responsible for playing key executive leadership role overseeing the full spectrum of financial and accounting functions across the organization, including the design, implementation and maintenance of financial processes, internal controls, and reporting systems that ensure accuracy, compliance, and operational efficiency. You will be responsible for preparing and reviewing financial statements in accordance with applicable accounting standards, managing regulatory financial reporting (e.g., GAAP and SEC requirements), and directing monthly, quarterly and annual close cycles. Partnering closely with the CEO and senior leadership, you will provide strategic financial insights, drive process improvements, support budgeting and planning activities, and help identify opportunities to strengthen financial performance. Additionally, you will manage relationships with external stakeholders and ensure that all financial operations adhere to regulatory and industry standards.
You should have extensive experience in finance and operations within highly regulated environments, especially broker-dealer, financial services or similar sectors. You should have deep expertise in financial reporting, regulatory compliance, and operational finance. A Bachelor’s degree in finance, accounting or a related discipline is required, and an advanced degree (e.g., MBA) and professional credentials such as CPA are strongly preferred. Experience with regulatory filings and financial reporting specific to your industry, including Broker-Dealer compliance and reporting requirements, is essential, as is the ability to lead complex financial and accounting functions independently. Excellent leadership, analytical and communication skills are critical to collaborate effectively with executive leadership, manage external audits and regulatory exams, and drive financial integrity and strategic decision-making throughout the organization.
Hiring Manager Title Chief Executive Officer (CEO)
Travel Percent Less than 10%
Functions
Finance