Executive Vice President, Finance and Operations
About the Company
Prominent financial services company specializing in investment management, research & trading services
Industry
Financial Services
Type
Privately Held
About the Role
The Company is in search of a strategic Executive Vice President (EVP) of Finance and Operations to take on a pivotal role in overseeing the financial management, operational performance, and regulatory compliance of its self-clearing proprietary broker-dealer and affiliates. The successful candidate will be a hands-on leader with deep expertise in broker-dealer operations, GAAP accounting, and SEC/FINRA reporting, and will be responsible for driving operational excellence, ensuring accurate financial reporting, and maintaining full compliance with regulatory and accounting standards. Key responsibilities include partnering with the CEO and senior leadership, identifying and leading operational improvement initiatives, performing P&L and margin analysis, and managing all financial and regulatory reporting. Applicants for the EVP position at the company should have a Bachelor's degree in accounting or finance, with an advanced degree being a plus, and an active FINRA Series 27 license. A CPA is preferred, and a minimum of 10 years' experience in broker-dealer finance and operations, particularly in a FINOP or senior finance leadership role within a self-clearing environment, is required. The role demands a comprehensive knowledge of broker-dealer operations, FINRA/SEC regulations, and financial reporting requirements, as well as strong analytical, organizational, and communication skills. The ideal candidate will be a strategic thinker, detail-oriented, and proactive in driving process improvements, with the ability to build strong relationships and influence key decisions across the organization. Experience in related disciplines such as compliance, risk management, cash management, and treasury is highly desirable.
Hiring Manager Title
CEO
Functions
Executive Vice President, Finance and Operations • Charlotte, NC, United States
Lead development and evolution of enterprise strategy, in partnership with the CEO and executive team.Translate long-term strategic priorities into actionable annual and quarterly plans.Facilitate ... Show more
Where Ambition Meets Innovation.Build a career that matches all your initiative with an impressive dose of innovation.From cutting-edge resources and a collaborative environment to the freedom to m... Show more
Vice President - Fund Accounting, Treasury.We are global private markets specialists delivering tailored investment solutions, advisory services, and impactful, data driven insights to the world's ... Show more
Be a part of our mission! As a world leader in creating comfortable, sustainable, and efficient climate solutions for buildings, homes and transportation, it's our responsibility to put the planet ... Show more
Vice President Finance, Husqvarna Forest & Garden Business Unit North America.As the Vice President Finance, Husqvarna Forest & Garden Business Unit North America, you will play a pivotal role in d... Show more
At Piper Sandler, we connect capital with opportunity to build a better future.We believe that diverse teams with unique backgrounds, skills and experiences yield more innovative solutions.This is ... Show more
Are you ready to help shape the future of energy? At Hitachi Energy, we're not just powering homes and industrieswe're powering progress.As a global leader in grid technologies, we're tackling one ... Show more
Korn Ferry has been exclusively retained to lead the search for a Vice President, Finance – Global Supply Chain & Operations on behalf of a leading publicly traded manufacturer with a global footpr... Show more
The Vice President, Strategy & Affinity Partnerships will lead the transformation and scaling of BNI’s Partner Program into a disciplined growth engine that drives new affinity chapter formation an... Show more
Senior Vice President of Consulting.Internationally recognized provider of ERP consulting services.Information Technology and Services.The Company is seeking a Senior Vice President of Consulting t... Show more
Vice President, Strategic & Affinity Partnerships.The Vice President, Strategic & Affinity Partnerships will lead the transformation and scaling of BNI's Partner Program into a disciplined growth e... Show more
The VPII of Technology Portfolio Management is responsible for providing portfolio management support to agile and project teams.This role supports the following EPMO service offerings: Program Epi... Show more
Vice President, Energy & Power Group.The Corporate & Investment Bank (CIB) delivers a comprehensive suite of banking, capital markets and advisory solutions, including a full complement of sales, t... Show more
As a Middle Office Vice President within the Treasury & Middle Office team, you will be responsible for all of Highbridge's trade management and financing needs working closely with our investment ... Show more
VP Of Enterprise Technology And Business Operations.As the Vice President of Enterprise Technology & Business Operations, you will be an integral member of the Customer Experience and Operations (C... Show more
Vice President, Careers & Skills, Global Philanthropy.JPMorganChase is committed to advancing an economy that works for all and strengthening communities by helping more people build skills, explor... Show more
VP, Oracle Fusion Enterprise Resource Planning - Financial Application.Job Level: Vice President Job Function: Business Operations Location: Charlotte, NC, US, 28202 Employment Type: Full Time.SMBC... Show more
The Director of Operations will lead and optimize all operational aspects of our HVAC and Building Automation Systems (BAS) services.This role holds full P&L responsibility and plays a critical par... Show more
Make banking a Fifth Third better We connect great people to great opportunities.Are you ready to take the next step? Discover a career in banking at Fifth Third Bank.General function: Client-facin... Show more
The Vice President is responsible for managing all branch office operations including sales, business development, customer relationships, project management, and administration.The Vice President ... Show more
