Director, Broker Dealer FINOP

New York, New York, United States

DriveWealth is a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices.

Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options.

We seek enthusiastic professionals to contribute diverse perspectives and experiences to our Brokerage-as-a-Service platform. Our culture blends the pace and opportunity of a tech start-up with the impact, stability, and significance of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. We value diversity and inclusion, celebrating the unique differences of our employees as we scale and grow together. We’re guided by operating principles grounded in accountability, teamwork, integrity, and solutions built to scale. Join us!

About the Role:

As Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company’s broker dealers. You will report into the Chief Accounting Officer and work closely with Controllers, Legal, Compliance, Treasury and FPA teams. You will focus on the Finance team’s reporting infrastructure and make sure the broker dealers unit is equipped to scale and support DriveWealth’s growth strategy.

What You’ll Do:

  • Work on day-to-day accounting and reporting responsibilities of self-clearing custody and proprietary trading firm
  • Prepare and submit accurate financial reports, including FOCUS filings and self clearing firm SEC reporting, in compliance with established deadlines
  • Calculate and monitor net capital position to meet regulatory requirements
  • Develop and maintain policies and procedures to ensure integrity of financial reporting
  • Work with the Controllers to ensure timely close of the company books and reporting of financial results in accordance with US GAAP every month
  • Work with Legal and Compliance teams on regulatory exams (FINRA/SEC) and communication
  • Ensure that operational processes are accurately reconciled to the accounting general ledger and comply with regulatory requirements
  • Work with Treasury on liquidity, funding, capital, clearing/trading deposits and other treasury-related items pertaining to legal entities as needed
  • Communicate with senior management in identifying and resolving broker dealer issues
  • Provide support for all tax filings and annual audits
  • Work across the organization to create/establish the 

What You’ll Need:

  • 8+ years of experience at clearing broker-dealer in finance and accounting function
  • 5+ years of experience as Broker Dealer FINOP
  • Experience with self clearing firm financial operations and reporting, stock loan/conduit/fully paid, proprietary trading business lines
  • Revenues recognition for multiple asset classes (equities, fixed Income, mutual funds)
  • An understanding of financial reporting systems, procedures, and internal controls
  • Strong organizational skills, attention to detail and prioritization capabilities
  • Demonstrated ability to manage multiple projects and adapt to change
  • Ability to effectively communicate and interact with all levels of management 
  • Series 27 preferred - must be willing to obtain
  • CPA preferred

Applicants must be authorized to work for any employer in the U.S. DriveWealth is unable to sponsor or take over sponsorship of an employment Visa at this time.

Compensation
Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience.

Please note: this role is expected to come into our office on a cadence set by the Hiring Manager/Team.

New York, NY (Hybrid) Pay Range

$200,000 - $235,000 USD

Benefits

  • Competitive medical, dental, and vision insurance options
  • Mental health resources 
  • Generous paid time off with observed holidays (varies per country)
  • Paid parental leave for biological and adoptive parents
  • Up to $2,500 or local equivalent each year to invest in continued education and personal development
  • Up to $900 each year or local equivalent for fitness and wellness reimbursement
  • Company-provided phone (varies by country)
  • Hybrid work experience that allows for flexibility
  • For HQ in-office employees, a daily lunch stipend, unlimited snacks, and engaging office space in the Financial District
  • Pre-tax commuter benefits (US only)
  • Employer 401K match (US only)

Benefit offerings vary based on country and are subject to change. 

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

TO ALL AGENCIES: Please, no phone calls or emails to any employee of DriveWealth outside of the Talent organization. DriveWealth’s policy is to only accept resumes from agencies via Greenhouse (ATS). Agencies must have a valid services agreement executed and must have been assigned by the Talent team to a specific requisition. Any resume submitted outside of this process will be deemed the sole property of DriveWealth. In the event a candidate submitted outside of this policy is hired, no fee or payment will be paid.

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