Our client is a digital investment platform. They seek an Associate Director, Institutional Financial Operations to join their Manhattan, NY office.
Responsibilities
- Oversee daily SEC Rule 15c3-1 net capital and SEC Rule 15c3-3 reserve calculations to ensure regulatory compliance
- Coordinate liquidity management, cash flow monitoring, and funding activities across clearing and settlement operations
- Investigate clearing cash suspense items, reconciliation discrepancies, and operational exceptions related to brokerage activity
- Evaluate liquidity stress testing results, capital forecasts, and operational risk metrics in partnership with finance leadership
- Support the development and expansion of institutional brokerage and operational infrastructure initiatives
- Collaborate with Operations, Risk, Legal, Institutional, and Engineering teams to streamline workflows and strengthen controls
- Drive system enhancements and operational tooling improvements with internal development and product teams
- Administer financial operations processes related to clearing, settlement, omnibus agreements, and self-clearing functions
- Facilitate regulatory audits, examinations, and internal control initiatives by providing operational finance expertise
Requirements
- 5-15 years of experience within broker-dealer financial operations, brokerage accounting, or financial control environments
- Strong understanding of SEC rule 15c3-1, and SEC rule 15c3-3 calculations and operational impacts
- Experience working within a carrying broker-dealer, self-clearing firm, or institutional brokerage environment
- Hands-on exposure to financial clearing operations
- Ability to operate cross-functionally and manage operational or institutional infrastructure-related projects
- Series 27 license strongly preferred
Job ID # 48337
