Head of Finance
Skills
About the Role
You will own the full P&L, balance sheet, and cash flow for the broker-dealer entity. You will manage regulatory capital and net capital compliance, oversee FINOP functions, and handle FOCUS filings and financial submissions to FINRA and the SEC. You will lead monthly close and GAAP financial reporting, build forecasting and scenario models, implement scalable finance systems and KPI dashboards, and prepare financials and controls for public-company readiness and audits.
Requirements
- Deep familiarity with broker-dealer financial infrastructure and regulatory reporting
- Experience with regulatory capital and net capital compliance
- Experience managing FOCUS filings and regulatory submissions to FINRA and the SEC
- Experience preparing GAAP financial statements and monthly close
- Experience supporting S-4/SPAC and public-company SEC reporting
- Experience implementing finance systems such as Runway and ERP and building reporting stacks
- Experience building KPI dashboards and FP&A reporting
Responsibilities
- Own and manage full P&L, balance sheet, and cash flow
- Develop annual operating plans, rolling forecasts, and scenario models
- Drive margin optimization and capital efficiency
- Act as or oversee the designated FINOP
- Ensure compliance with SEC Rule 15c3-1 and SEC Rule 17a-5 and customer protection requirements
- Manage FOCUS filings and submissions to FINRA and the SEC
- Oversee annual broker-dealer audits and regulatory exams
- Maintain regulatory capital buffers and liquidity planning
- Ensure accurate monthly close and GAAP-compliant financial statements
- Coordinate consolidation with parent-company finance
- Support S-4/SPAC and public-company reporting requirements
- Build internal controls framework aligned with SOX-readiness
- Implement scalable finance systems (Runway, ERP, reporting stack)
- Build business-unit-level reporting and KPI dashboards
- Drive cost discipline and operational leverage
- Present financial updates to board and executive stakeholders
Benefits
- Unlimited Paid Time Off (PTO)
- Equity Grant Opportunities
- Remote Work Flexibility
- Employer-paid Medical Dental and Vision insurance
- 401(k) retirement plan