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Hold Brothers Capital, LLC · 8 hours ago

Executive Vice President of Finance

NYC Metro Area

Full-time

Onsite

Senior Level, Lead/Staff

$200K/yr - $240K/yr

10+ years exp

Hold Brothers Capital, LLC is a leading self-clearing proprietary broker-dealer, and they are seeking an EVP of Finance & Operations to oversee the brokerage operations and serve as a member of the executive team. The role involves managing finance and accounting processes, ensuring regulatory compliance, and collaborating with various teams to produce consolidated financial statements.

BankingConsultingInsurance

Growth Opportunities

Hiring Manager

Gregory Hold

Responsibilities

Collaborate with the CEO and senior management to oversee daily operations, identify process improvements, and implement recommendations

Prepare financials and maintain accurate Broker-Dealer records in compliance with GAAP and regulatory standards, ensuring timely completion of monthly, quarterly, and annual closes

Support the CFO with financial analysis, reporting, and strategic recommendations

Oversee regulatory compliance, monitor developments, and manage relationships with external stakeholders, including auditors and regulators

Handle tax planning and compliance, supervise financial responsibilities under SEC rules, and align financial systems with accounting processes

Facilitate key financial reporting and compliance tasks, including FOCUS Reports, Net Capital Computations, SSOI, Form Custody, SIPC, audits, FINRA exams, and due diligence

Qualification

CPASeries 27Broker-dealer operationsFinancial reportingRegulatory complianceAnalytical skillsRisk ManagementTreasuryCollaboration

Required

Bachelor's in accounting or finance required

Series 27 required

10+ years of experience in Operations/Finance as a FINOP or similar role at a self-clearing broker-dealer, with expertise in broker-dealer operations and regulatory reporting

Strong analytical skills, discretion with sensitive information, and ability to collaborate across organizational areas