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 Travel Percent Less than 10% Functions Finance Operations
Executive Vice President, Finance and Operations • Charlotte, NC, United States
VP Surety Risk Underwriting - Charlotte, NC VP Vice President Executive Director Program Manager Product Manager Underwriter Underwriting Manager Team Leader Commercial Contract Surety _.Shall be r... Show more
Vice President Investment Banker.Wells Fargo Corporate & Investment Banking delivers a comprehensive suite of capital markets, banking, and financial products and services.A trusted partner to our ... Show more
Lead with Purpose, Unlock Your Team’s Passion.At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights.Because w... Show more
Vice President Financial Planning and Analysis.Vice President Financial Planning and Analysis.Atrium Health Wake Forest Baptist.Advocate Aurora Health Corporate - Financial Planning: AAH Administra... Show more
Cash Management Implementation Specialist - Vice President.Job Level: Vice President Job Function: Client Service Location: New York, NY, US, 10172 Charlotte, NC, US, 28202 Employment Type: Full Ti... Show more
A private markets investment firm with more than twenty‑five years of experience is seeking a Vice President to support its private credit and private equity investment activities within the lower ... Show more
A financial services company is seeking a Vice President for Corporate Finance focusing on the Digital Infrastructure and Communications Technology sectors in Charlotte, NC.The role requires strong... Show more
Investment Banking Vice President.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 ... Show more
LPL Financial is looking for a Vice President to lead the Technology Governance program within Cyber Security.The role requires over 8 years of governance leadership in cybersecurity, including str... Show more
The Wealth Operations, Non‑Financial Regulatory Reporting Vice President is a high‑performing individual contributor and one of the firm’s most knowledgeable specialists in Americas Non‑Financial R... Show more
Affirm is reinventing credit to make it more honest and friendly, giving consumers the flexibility to buy now and pay later without any hidden fees or compounding interest.We’re looking for a smart... Show more
Responsible for the iQor Customer Experience and overall relationship for assigned Strategic and Key account(s).This includes ensuring these Client(s) are ecstatic with the services and results pro... Show more
At USAA, our mission is to empower our members to achieve financial security through highly competitive products, exceptional service and trusted advice.We seek to be the #1 choice for the military... Show more
We are actively looking for exceptionally talented individuals who are collaborative, confident and motivated to provide a first-class experience to clients within J.If you have an entrepreneurial ... Show more
Are you customer focused, enjoy building relationships and providing financial solutions to your clients? You have found the right team.As a Treasury Management Officer in Government Banking servin... Show more
Since 2012, we've grown to become one of the leading single-family rental companies and homebuilders in the country, recently recognized as a top employer by Fortune and Great Place To Work®.At AMH... Show more
Finance Director, Executive Compensation in Charlotte, North Carolina.This pivotal role involves leading the financial design and governance of executive compensation programs while partnering with... Show more
Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services.With more than ... Show more
VP - Land Acquisition page is loaded## VP - Land Acquisitionlocations: Charlotte, NCtime type: Full timeposted on: Posted Todayjob requisition id: JR100761Since 2012, we've grown to become ... Show more
Qor is seeking a VP of Client Services in Charlotte, NC, to manage and enhance relationships with key accounts.This role requires a leader with over 10 years of experience in Client Services, prefe... Show more
