Financial Operations Professional

Key Responsibilities

• Partner with executive leadership to oversee daily accounting, finance, and FINOP responsibilities.
• Maintain accurate books and records and prepare financial statements in accordance with applicable accounting and broker-dealer regulatory requirements.
• Perform and oversee weekly, monthly, quarterly, and annual account reconciliations.
• Manage month-end, quarter-end, and year-end close processes, ensuring financial reporting is completed accurately and on schedule.
• Oversee payroll administration, including employee setup, time and attendance, payroll processing, audits, payroll tax reporting, and reconciliations.
• Serve as the primary finance contact for banking relationships and related treasury activities.
• Monitor SEC, Client, and other regulatory developments and recommend enhancements to accounting processes and internal controls.
• Oversee the implementation and ongoing effectiveness of financial policies, procedures, and controls.
• Maintain relationships with external auditors, regulators, financial institutions, and other key stakeholders.
• Manage federal, state, local, payroll, property, and other applicable tax filings and compliance requirements.
• Oversee the broker-dealer's obligations under applicable SEC financial responsibility rules.
• Collaborate with Operations, Compliance, Technology, and other departments to ensure new systems and processes integrate effectively with accounting and financial reporting functions.
• Manage accounts payable and accounts receivable, vendor reconciliations, vendor management, and general bookkeeping activities.
• Prepare and/or oversee FOCUS Reports and Net Capital Computations.
• Support annual financial audits, Client examinations, regulatory requests, and accounting due diligence.
• Provide financial analysis and strategic insight to senior leadership and other business stakeholders.

Qualifications

• Bachelor's degree in Accounting, Finance, or a related field required; advanced degree preferred.
• Active Series 27 license required.
• 10+ years of combined accounting and FINOP experience.
• Significant experience within a broker-dealer environment; self-clearing or proprietary trading experience strongly preferred.
• Strong working knowledge of SEC and Client regulations and broker-dealer financial reporting requirements.
• Hands-on experience with FOCUS reporting, Net Capital calculations, financial responsibility rules, and regulatory examinations.
• Experience with Great Plains/Microsoft Dynamics GP, QuickBooks, and ADP Workforce Now preferred.
• CPA is a plus but not required.
• Strong knowledge of GAAP, accounting controls, reconciliations, financial close, payroll, and tax compliance.
• Excellent analytical, organizational, and problem-solving skills with the ability to work effectively across multiple business functions.