Executive Vice President (Finance and Operations)

March 19

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Hold Brothers Capital, LLC

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Equity Trading • Proprietary Trading • Execution Software • Direct Access Trading

51 - 200

Description

• Partner with CEO and senior management to work on day to day operations of proprietary trading firm. • Work with management to identify process improvements and make recommendations for change. • Conduct P & S and margin calculations to reconcile data. • Preparing financials and books and records for the Broker-Dealer according to GAAP and ensuring all regulatory reporting requirements are met. • Work with the CFO to provide relevant support to facilitate financial information analyses, reports, and recommendations. • Ensuring accurate and timely completion of the month-end, quarter-end, and year-end close process. • Keeping abreast of regulatory developments and making strategic recommendations for process/control modifications and the oversight of their implementation. • Maintaining relationships with key external stakeholders (regulatory/government bodies, external auditors) as it pertains to the Broker-Dealer. • Contributing value-added and strategic insight to organizational areas within the Firm and other stakeholders throughout the business. • Managing all tax planning and compliance with all required federal, state, local, payroll, property and other applicable taxes. • Supervision and/or performance of the Broker-Dealer’s responsibilities under all financial responsibility rules promulgated pursuant to the provisions of the Securities Exchange Act of 1934 (Exchange Act). • Being able to provide strong knowledge or accounting processes through clear communication and quick responsiveness to internal and external parties. • Collaborating with all departments to ensure financial information and new systems will efficiently and accurately consolidate with accounting processes and systems. • Facilitating and/or performing various financial duties.

Requirements

• B.S. in Accounting or Finance required; Advanced degree is a plus • Series 27 is required • CPA preferred but not required • Must have Series 27 • The ideal candidate is someone who is intelligent, professional, polished, and articulate, with good interpersonal and analytical skills. • 10+ years relevant broker-dealer experience working in Operations and/or Finance as a FINOP or Finance management position at a self-clearing broker-dealer. • Expert knowledge of broker-dealer operations, and regulatory reporting needs including FINRA, SEC, and other agencies as required. • Demonstrated analytical skills including the ability to synthesize quantitative and qualitative data to draw conclusions and assist on decision making. • Extremely reliable character with a demonstrated ability to handle sensitive information with discretion. • Prior experience across several disciplines including but not limited to Operations, Finance, Compliance, Risk Management, Cash Management, and Treasury is a plus.

Benefits

• Health insurance • Dental insurance • Paid time off