About the Company

Our client is a well-established financial services organization with a strong reputation for serving institutional and professional clients with billions in assets under custody. Backed by a financially stable global parent company with a long history of success, the firm is recognized for its commitment to operational excellence, client service, and long-term growth. To protect the confidentiality of this search, additional details will be shared with qualified candidates as the interview process progresses.

About the Role

The CFO leads all finance, accounting, treasury, and regulatory reporting functions for a dually registered FCM and self-clearing broker-dealer. This is a hands-on executive seat in one of the most regulated environments in financial services: daily, monthly, and quarterly filings; regular examinations; and daily customer segregation and net capital computations.

The CFO serves as Financial Operations Principal (FinOp) of record and acts as strategic partner to the CEO and primary financial liaison to the global parent company. Our client is looking for a strong, resilient leader. Someone who brings energy and new thinking, challenges the status quo, drives automation and technology into every corner of the function, and develops the team beneath them.

Responsibilities

Lead finance, accounting, treasury, and regulatory reporting for the FCM and broker-dealer businesses, serving as FinOp of record (FINRA Series 27).
Own daily customer segregation, secured, and net capital computations (CFTC 1.17, SEC 15c3-1 / 15c3-3) and ensure accurate, on-time daily, monthly, and quarterly regulatory filings, including FOCUS and 1-FR-FCM.
Manage regulatory examinations and relationships across CME (DSRO), NFA, CFTC, SEC, and FINRA — the firm is examined regularly, and clean outcomes are the standard.
Lead the annual financial statement audit with the firm's external audit firm from planning through completion.
Modernize the function: drive automation, data tools, and process redesign across regulatory reporting, liquidity management, reconciliation, and close.
Manage firm liquidity, banking and clearinghouse relationships, and capital planning in coordination with the global parent company.
Serve as strategic partner to the CEO on firm strategy, growth initiatives, and the continued buildout of the equities clearing / broker-dealer business.
Report financial results to the parent company and coordinate across U.S. GAAP and group reporting requirements.
Lead, develop, and elevate a finance team of five, raise the bar on capability, cross-training, and succession.
Support due diligence and financial review of potential acquisitions and new business initiatives.

Qualifications

10+ years of progressive finance leadership within the futures and/or securities clearing industry, FCM, self-clearing or correspondent-clearing broker-dealer, or closely comparable regulated brokerage environment. Direct industry experience is required; investment banking backgrounds are not a fit for this seat.
FINRA Series 27 license (or ability to register immediately) and prior experience serving as FinOp for one or more regulated entities.
Deep command of FCM and broker-dealer regulatory frameworks: segregation, net capital, FOCUS, 1-FR-FCM, and the examination practices of CME, NFA, CFTC, SEC, and FINRA.
Demonstrated track record of automating or rebuilding finance and regulatory processes technology-forward by instinct (SQL, VBA, BI/data tools, or equivalent), not by delegation.
Experience managing external audit relationships as the client-side lead.
Proven people leadership: hired, developed, and retained high-performing finance teams.
Experience reporting into a global or foreign parent company preferred; comfort operating across time zones and cultures.
Exposure to equities clearing and broker-dealer buildout or expansion strongly preferred.
Necessary traits: absolute integrity, strong sense of ownership, resilience and composure under pressure, directness paired with thick skin, energy, initiative, intellectual curiosity, and the drive to continually improve.

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