Executive Vice President of Finance (New York)

Hold Brothers Capital, LLC, a leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations, related affiliates and serve as a member of our executive team. Reporting to the CEO, this role is responsible for the implementation and management of finance and accounting processes, external filing and financial reporting, and accounting controls and functions. This individual will collaborate with business unit and functional teams for the end-to-end process in producing consolidated financial statements and related disclosures as required by GAAP and the SEC. Additionally, this position will monitor emerging SEC guidelines and new and proposed U.S. GAAP accounting standards.

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.

Qualifications

• Bachelor’s in accounting or finance required; advanced degree and CPA preferred.
• 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.
• Experience in Operations, Finance, Compliance, Risk Management, or Treasury is a plus.