Chief Financial Officer

Job Description 

Calton & Associates is looking for a highly motivated and experienced Chief Financial Officer (“CFO”) to lead and manage the broker dealer, RIA and insurance financials.   

They will also manage the accounting and commissions staff.  The CFO will be a member of the senior management team and have input on broad overall decisions with Calton & Associates.  

The CFO will be responsible for filing the monthly FOCUS report and ensure the firms financials are following SEC, FINRA, state securities and insurance financial rules and regulations.  The CFO will be responsible for financial budgeting and audits, reporting developing, implementing, communicating, and reviewing corporate policies, procedures, trends, and systems designed to enable the broker dealer and RIA to effectively manage risk. The CFO will be responsible for ensuring that Calton’s reporting complies with regulatory requirements and the firm’s policies and supervisory procedures.   

Position Title: SVP, Chief Financial Officer 

Location: Tampa, FL 

Employee Type: Full-Time, Exempt 

  Responsibilities 

• Production of accurate and timely monthly financial statements 
• Preparation and filing of required regulatory reports 
• Assist in the payroll process 
• Coordination of annual external audit and tax returns 
• Oversight of the accounts payable, receivable, payroll and fixed asset functions 
• Supervision of accounting staff 
• Coordination of the annual budget process 
• Liaise with regulatory bodies including FINRA and the SEC 
• Maintenance of firm books and records 
• Performing other duties as assigned by CEO 

Qualifications 

• Education – 4 Year degree in Accounting, Series 27, CPA preferred but not required 
• Computer skills – Strong Microsoft Office and ability to work in multiple software systems 
• Special skills  
• Strong interpersonal and verbal communication skills.  
• Ability to appropriately handle confidential matters  
• Strong attention to detail 
• Highly organized 
• Knowledge of the financial services industry 

Physical Demands and Work Environment  

• Continually required to sit at computer for extended periods of time. Continually required to talk or hear and utilize visual acuity to use computer and other office equipment. 
• Occasionally required to lift or carry boxes less than 25lbs 

Compensation and Benefits 

• Base Salary 
• Annual Bonus  
• Company Profit Sharing Plan Bonus  
• Company 401K and Matching Program 
• Medical Coverage 
• Dental Coverage 
• Life Insurance Coverage