Vice President, Financial Operations | Regulatory Reporting
Job TypeDirect Hire
Remote TypeOn-Site
Seeking an experienced Vice President, Financial Operations & Regulatory Reporting to be responsible for overseeing the firm’s broker-dealer financial operations and regulatory reporting obligations. This role requires a hands-on professional with deep knowledge of SEC and FINRA reporting requirements, broker-dealer accounting, and capital rules. The ideal candidate operates independently, manages competing priorities effectively, and ensures accurate, timely regulatory filings in a fast-moving environment.
QUALIFICATIONS
- 5+ years of experience in financial operations, accounting, or regulatory reporting within a broker-dealer environment.
- Strong working knowledge of SEC Rules 15c3-1 and 15c3-3.
- Hands-on experience preparing FOCUS Reports and managing FINRA and SEC filings.
- Solid understanding of U.S. GAAP and broker-dealer accounting principles.
- Experience supporting financial statement audits and tax processes.
- Ability to operate independently, manage multiple priorities, and consistently meet regulatory deadlines.
- High attention to detail with a practical, solutions-oriented mindset.
Strong communication skills and the ability to work effectively with internal and external stakeholders. - CPA or similar professional designation preferred, but not required.
This role will sit ONSITE in New York, NY