Senior Vice President of Financial Operations

2 weeks ago

New York, New York, United States Think Consulting Full time

Think Consulting is on the lookout for a Senior Vice President of Financial Operations to join a direct access trading firm that specializes in domestic equities trading. This position offers a hybrid work model, requiring on-site presence from Tuesday to Thursday.

Key Responsibilities:

Reporting directly to the CEO, the Senior Vice President of Financial Operations will manage the financial and accounting functions of our organization. The primary responsibilities include:

  • Collaborating with the CEO and senior leadership on the daily operations of the proprietary trading firm.
  • Identifying areas for process enhancement and recommending changes in partnership with management.
  • Conducting profit and loss analyses and margin calculations to ensure accurate data reconciliation.
  • Preparing financial statements and maintaining records for the Broker-Dealer in compliance with GAAP and regulatory reporting standards.
  • Providing analytical support to facilitate financial assessments, reports, and recommendations in conjunction with the CFO.
  • Ensuring the timely and accurate completion of month-end, quarter-end, and year-end closing processes.
  • Staying informed about regulatory changes and making strategic recommendations for process and control modifications while overseeing their execution.
  • Building and maintaining relationships with key external stakeholders, including regulatory bodies and external auditors.
  • Delivering strategic insights and value-added contributions to various organizational areas and stakeholders across the business.
  • Managing all aspects of tax planning and compliance with federal, state, local, payroll, property, and other applicable taxes.
  • Overseeing the Broker-Dealer's responsibilities under all financial responsibility regulations as per the Securities Exchange Act of 1934.
  • Exhibiting strong knowledge of accounting processes through effective communication and prompt responsiveness to both internal and external inquiries.
  • Collaborating with all departments to ensure financial data and new systems are integrated efficiently and accurately with accounting processes.
  • Facilitating various duties, including FOCUS Reports, Net Capital Computations, Annual Audit Support, Client Examination Support, Accounting Due Diligence, Bookkeeping, and other assigned tasks.

Qualifications:

Education:

  • Bachelor's degree in Accounting or Finance is required; an advanced degree is advantageous.
  • Series 27 certification is mandatory.
  • CPA designation is preferred but not essential.

Knowledge and Skills:

  • Possession of Series 27 certification is a must.
  • The ideal candidate will be intelligent, professional, polished, and articulate, with strong interpersonal and analytical abilities.
  • A minimum of 10 years of relevant experience in broker-dealer operations, specifically in Finance or Operations as a FINOP or in a finance management role at a self-clearing broker-dealer.
  • Expertise in broker-dealer operations and regulatory reporting requirements, including those from clients, the SEC, and other agencies as necessary.
  • Proven analytical skills, with the ability to synthesize quantitative and qualitative data to inform decision-making.
  • A highly reliable character with a proven track record of handling sensitive information with discretion.
  • Prior experience across multiple disciplines, including Operations, Finance, Compliance, Risk Management, Cash Management, and Treasury, is a plus.

Compensation: $200,000 - $240,000, plus an annual bonus of 10% to 15%.

Benefits: Health insurance, Dental insurance, Paid time off.

Equal Opportunity Employer, including disability and protected veteran status.

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