Director, Institutional Financial Operations

Job Description

The Opportunity

\n

Axiom is partnering with an established, technology-led US brokerage entering a significant phase of institutional growth and financial infrastructure development.

\n

\n

As the business expands its institutional brokerage offering and progresses towards becoming self-clearing, it is investing in the financial controls, systems and operational frameworks needed to support its next phase of growth.

\n

\n

We are seeking a Director, Institutional Financial Operations to take a central role in this buildout. This is a newly created position offering significant ownership, direct exposure to CFO-level leadership and the opportunity to influence how a growing brokerage develops its institutional financial infrastructure.

\n

\n

The Business

\n

Our client operates a large-scale, regulated brokerage platform with an established retail trading business and a growing institutional offering.

\n

\n

With continued investment in its US securities operations, the business is expanding its capabilities across clearing, custody, institutional brokerage and financial technology.

\n

\n

The next phase involves transitioning towards a self-clearing model, creating an opportunity for an experienced financial operations specialist to help design and scale the supporting financial infrastructure.

\n

\n

The Role

\n

Reporting directly to a CFO, you will operate at the intersection of Finance, Accounting, Institutional Brokerage, Clearing Operations and Technology.

\n

\n

This is a hands-on leadership position with substantial individual ownership rather than a traditional people-management mandate.

\n

\n

Your responsibilities will include:

\n

\n
• Owning and performing regulatory net capital and customer reserve calculations under SEC Rules 15c3-1 and 15c3-3.
\n
• Developing the financial control infrastructure to support the growth of institutional brokerage and self-clearing capabilities.
\n
• Managing financial workflows covering liquidity, funding, cash reconciliations and clearing-related suspense accounts.
\n
• Partnering with Finance and Technology teams to develop more automated, scalable regulatory calculation and reporting processes.
\n
• Supporting capital forecasting, liquidity analysis, operational risk management and regulatory examinations.
\n
• Working closely with Clearing Operations and Institutional teams on custody, settlement and omnibus brokerage arrangements.
\n
• Helping establish processes and controls capable of supporting a more complex institutional operating environment.
\n

\n

\n

What We're Looking For

\n

We are particularly interested in candidates who combine a strong accounting or finance foundation with hands-on US broker-dealer financial operations experience.

\n

\n

Essential experience:

\n

\n
• 8+ years' experience in broker-dealer finance, financial operations, brokerage accounting or financial control.
\n
• Strong practical understanding of SEC Rules 15c3-1 and 15c3-3.
\n
• Experience personally performing net capital and customer reserve calculations.
\n
• A strong understanding of broker-dealer financial reporting, controls and regulatory obligations.
\n
• FINRA Series 27 qualification, or a willingness and ability to obtain it within 90 days of joining.
\n
• The ability to operate independently while collaborating with senior finance, operations and technology stakeholders.
\n

\n

\n

Interested?

\n

If you are an experienced US broker-dealer finance professional with strong regulatory knowledge and an interest in helping build institutional financial infrastructure, we'd welcome a confidential conversation.

\n

\n

Apply through Axiom or contact us directly to discuss the opportunity.

\n