Director, Institutional Financial Operations

About the role

Axiom is recruiting, on behalf of an established, technology-led US brokerage, a Director, Institutional Financial Operations. The brokerage is expanding its institutional offering and moving toward a self-clearing model, and needs someone to build the financial controls, systems and operational frameworks behind it. Reporting directly to the CFO, this is a hands-on leadership role with substantial individual ownership, sitting at the intersection of finance, accounting, institutional brokerage, clearing operations and technology.

Key responsibilities

• Own and perform regulatory net capital and customer reserve calculations under SEC Rules 15c3-1 and 15c3-3.
• Build the financial control infrastructure supporting institutional brokerage and self-clearing.
• Manage financial workflows covering liquidity, funding, cash reconciliations and clearing-related suspense accounts.
• Work with Finance and Technology to automate regulatory calculation and reporting.
• Support capital forecasting, liquidity analysis, operational risk management and regulatory examinations.
• Collaborate with Clearing Operations and Institutional teams on custody, settlement and omnibus brokerage arrangements.
• Establish processes and controls for a more complex institutional operating environment.

Required profile

• 8+ years in broker-dealer finance, financial operations, brokerage accounting or financial control.
• Personal experience performing net capital and customer reserve calculations.
• Ability to work independently while collaborating with senior finance, operations and technology stakeholders.

Required skills

• Strong practical understanding of SEC Rules 15c3-1 and 15c3-3.
• Strong understanding of broker-dealer financial reporting, controls and regulatory obligations.
• FINRA Series 27 qualification, or willingness and ability to obtain it within 90 days of joining.