Job Title: Chief Financial Officer (CFO)
Location: New York City, NY
Mode: On-site | Full- time | (Potential transition to Hybrid)
Overview:
Seeking an experienced CFO with deep self-clearing broker-dealer expertise to lead finance, regulatory reporting and accounting functions. This role partners closely with the CEO and executive team to ensure full compliance with SEC and FINRA regulations while driving financial accuracy, control and operational efficiency.
Key Responsibilities:
- Oversee all finance and accounting operations for the broker-dealer.
- Ensure accurate and timely regulatory reporting including FOCUS, Net Capital, SSOI and related filings.
- Maintain books and records in compliance with GAAP and SEC requirements.
- Lead month-end, quarter-end and year-end close processes.
- Supervise financial responsibility rules under the Securities Exchange Act.
- Perform and review P&S and margin calculations.
- Manage audits, FINRA examinations and external stakeholder relationships.
- Monitor regulatory changes and implement necessary control and process updates.
- Partner with leadership on financial analysis, reporting and strategic initiatives.
- Oversee tax planning and compliance.
Requirements:
- 10+ years of broker-dealer experience in a FINOP or senior finance role within a self-clearing environment.
- Series 27 license required; CPA preferred.
- Strong expertise in SEC, FINRA and broker-dealer regulatory reporting.
- Hands-on experience with net capital computations and financial controls.
- Proven ability to manage audits and regulatory exams.
- Strong analytical, communication and leadership skills.
Preferred:
- Experience across operations, compliance, risk, treasury and cash management.
