We are seeking a highly strategic and operationally rigorous Head of Finance to lead all financial operations for Securitize Markets.

This executive will:

• Own the full P&L of the broker-dealer entity
• Oversee regulatory capital, net capital compliance, and FINOP functions
• Lead financial reporting, budgeting, and forecasting
• Partner cross-functionally across Compliance, Legal, Operations, and Product
• Support public-company readiness and SEC reporting alignment

This role is both strategic and hands-on, requiring deep familiarity with broker-dealer financial infrastructure and regulatory reporting.

Core Responsibilities

Financial Leadership & Strategy

• Own and manage full P&L, balance sheet, and cash flow for Securitize Markets
• Develop annual operating plan, rolling forecasts, and scenario modeling
• Drive margin optimization and capital efficiency across business lines
• Partner with executive leadership on growth initiatives and pricing strategy

Regulatory Finance & Compliance (Critical)

• Act as or oversee the designated FINOP
  
• Ensure compliance with:
• SEC Rule 15c3-1 (Net Capital Rule)
• SEC Rule 17a-5 (FOCUS reporting)
• Customer protection and reserve requirements
• Manage FOCUS filings and financial submissions to:
• FINRA
• U.S. Securities and Exchange Commission
• Oversee annual broker-dealer audits and regulatory exams
• Maintain regulatory capital buffers and liquidity planning

Accounting & Reporting

• Ensure accurate monthly close process and GAAP-compliant financial statements
• Coordinate with parent-company finance for consolidation
• Support S-4/SPAC/public-company reporting requirements
• Build internal controls framework aligned with SOX-readiness

FP&A / FinOps Infrastructure

• Implement scalable finance systems (Runway, ERP, reporting stack)
• Build business-unit-level reporting (issuance, trading, custody adjacencies)
• Drive cost discipline and operational leverage
• Develop KPI dashboards tied to revenue, transaction volume, AUM growth

Cross-Functional Leadership

• Partner with:
• Compliance (regulatory capital & reporting)
• Legal (entity structuring & capital markets activity)
• Operations (clearing, settlement, fee structures)
• Product (new structured offerings)
• Present financial updates to board and executive stakeholders

Financial & Business Performance

• Partner with Finance to manage budgets, optimize operational spend, and forecast resourcing needs.
• Support the CEO and executive team in capital planning and board communications.
• Identify and execute opportunities for operational leverage, vendor consolidation, and automation.
  
  

Required Skills & Experience

• 15+ years of hands-on experience in operations within a broker dealer as well as fintech and digital assets, including 10+ years in a senior leadership role.
• Proven success scaling operations in a broker dealer ecosystem.
• Requisite FINRA licensing  (S7, S24, S27, S99 at a minimum)
• Strong understanding of financial regulations, compliance operations, and risk management.
• Demonstrated ability to manage and optimize cross-functional systems and workflows.
• Experience leading distributed teams across multiple time zones and jurisdictions.
• Exceptional analytical, organizational, and leadership skills.
• Strong communication and stakeholder management abilities, including experience interfacing with boards and regulators.