EVP, Finance & Operations (Hybrid)
One Pennsylvania Plaza New York, NY 10119 US
Job Description
Our client, a leading proprietary trading and financial services organization, is seeking an accomplished Executive Vice President of Finance & Operations to join their executive leadership team. This position oversees all finance, accounting, and operational controls for a self-clearing broker-dealer and affiliated entities. The ideal candidate brings deep industry experience, strategic insight, and strong regulatory knowledge to drive financial and operational excellence.
Key Responsibilities
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Partner with the CEO and executive leadership on operational and strategic initiatives.
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Oversee all financial, accounting, and reporting functions in compliance with GAAP, SEC, and FINRA regulations.
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Prepare financial statements, FOCUS reports, Net Capital computations, and related filings.
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Ensure timely and accurate month-end, quarter-end, and year-end closings.
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Manage relationships with regulators, auditors, and external stakeholders.
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Identify and implement process improvements to enhance efficiency and compliance.
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Oversee tax planning and compliance across federal, state, and local jurisdictions.
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Monitor emerging SEC and GAAP guidance and recommend strategic adjustments.
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Supervise the firm’s responsibilities under financial responsibility rules of the Securities Exchange Act of 1934.
Qualifications
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Bachelor’s degree in Accounting or Finance required; advanced degree preferred
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Series 27 license required
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CPA preferred
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10+ years of experience in Finance and/or Operations leadership at a self-clearing broker-dealer
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Expertise in FINRA, SEC, and SIPC reporting and compliance
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Strong analytical skills and ability to interpret complex financial data
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Proven leadership, communication, and interpersonal skills
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Experience in Operations, Compliance, Risk Management, Cash Management, or Treasury is a plus
Equal Employment Opportunity
Kinect is an Equal Opportunity Employer and value diversity at all levels of the organization. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.
Meet Your Recruiter
Nick Runge
Engagement Manager
In 2018, Nick moved out of the Minnesota cold and has since embraced living in sunny Los Angeles. After graduating with a Marketing degree from the University of Minnesota he started a career in staffing specializing in F&A and IT recruitment. His background includes working with clients ranging from growing start-ups and Fortune 500 companies to most recently as an internal recruiter for a global consulting firm. Nick enjoys working with clients to connect them with exceptional talent and helping find his candidates opportunities that advance their careers. Outside of work Nick enjoys playing and watching sports, going to shows, and traveling. He has a dog named Prince that loves walking by the beach and networking with people and their dogs just like his Dad.