Position summary:
The position of chief financial officer and designated financial operations principal (finop) of tradestation securities (the company) will be primarily responsible for managing the financial functions of the company, while also serving as the liaison between finance and operationsThe position will oversee compliance with all financial regulatory requirementsEssential job functions:
Monitor and ensure compliance with financial regulatory requirements
Calculate weekly reserve requirements and related fund movements
Manage the preparation of monthly, quarterly, and annual financial statements
Oversee treasury positions (monitor liquidity and initiate fund transfers accordingly)
File monthly focus and other reports with applicable regulatory agencies
Manage external audits, sec/finra audits/examinations, cftc/nfa/dso audits/examinations and any other audits/examinations that may arise (e.g., dtcc, occ, exchanges)
Oversee accounting functions and supervise accounting staff
Serve as liaison between the financial and operational functions of the company to ensure budgetary obligations and kpis are aligned at the group level
Manage the budget and forecasting process as it pertains to the company
Manage reconciliation of back-office systems to general ledger
Knowledge, skills & abilities:
Familiar with self-clearing broker/dealer (equities, options, securities lending, institutional and prime broker) concepts, practices and procedures and generally familiar with cftc/nfa/dso requirements for fcms
Strong financial reporting background as well as strong excel skills.
Exposure to online brokerage, electronic trading and/or direct access trading models
Broad based brokerage and financial background as well as knowledge and experience of securities lending
Excellent management and communication skills
Education & experience:
Bachelor’s degree in accounting or finance
Minimum of 10 years of broker/dealer experience
Experience serving as a finop in a self-clearing environment (minimum 3 years)
Exposure to nfa, cme and cftc reporting and fcm business/operations
Cpa with 3 years of public accounting experience preferred
Great plains experience preferred
Certifications required:
Series 27 license
