Job Summary

We're looking for a strategic and detail-oriented Director of Finance to lead financial operations and serve as a key partner in managing both firm-level and broker-dealer financial activities. This individual will be responsible for financial planning, compliance, and reporting, while also wearing multiple hats across operational initiatives.

Key Responsibilities

Financial Leadership

• Oversee firm-wide budgeting, forecasting, cash flow, and reporting
• Lead the monthly and year-end close process and prepare management reports
• Maintain internal controls and implement financial policies and procedures
• Collaborate with tax advisors and auditors to ensure compliance

Broker-Dealer (FinOp) Duties

• Serve as Financial & Operations Principal (FinOp), or work closely with FinOp to manage BD financial reporting obligations
• Prepare and file FOCUS reports and other FINRA/SEC regulatory filings
• Maintain net capital calculations and ensure compliance with applicable rules
• Work with external regulators and ensure readiness for periodic audits or exams
• Coordinate with compliance and legal teams for financial recordkeeping

Operational Support & Automation

• Take ownership of internal fee reconciliation processes and automate where possible
• Work closely with trading and operations teams to support ad hoc projects (e.g., partner P&L allocations, incentive comp modeling, broker statement reconciliation)
• Evaluate and implement systems/tools to enhance operational and financial efficiency
• Help manage vendor relationships, technology spend, and cost tracking
• Support broader operational initiatives such as optimizing benefit plans and managing sponsorships

Other

• Support investor relations and reporting for external capital partners
• Build and mentor a lean finance and ops team as the firm scales
• Serve as a trusted advisor to senior leadership across both strategic and tactical topics

Qualifications

• Bachelor’s in Finance, Accounting, or related field; CPA a plus
• Series 27 certification preferred (or willingness to obtain)
• Prior experience as a controller level or higher at a proprietary trading firm highly preferred
• Strong grasp of broker-dealer regulatory frameworks and capital requirements
• High proficiency with Excel and accounting/ERP tools (e.g., QuickBooks, NetSuite, or similar)
• Comfort working in a lean, fast-paced, and high-precision environment
• Bonus points for scripting/automation experience (Python, SQL, etc.)

Compensation & Benefits

• Competitive base salary + performance-based bonus
• Health, dental, and vision insurance
• 401(k)
• Unlimited paid time off
• Opportunity to work with a small, elite team in a high-impact environment