Employer: Broadgate Search Ltd Salary: Date Added: 22/03/2024
Accountabilities
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
Experience
Series 27 is required
CPA preferred but not required
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 a
