Client seeking a Chief Financial Officer (CFO) with Series 27 (FinOp) designation to lead its financial operations and regulatory reporting function. This individual will play a critical role in ensuring compliance with SEC and FINRA requirements while providing strategic financial leadership to the business.
This is a high-impact position suited for a hands-on leader with deep broker-dealer expertise and experience navigating complex regulatory environments.
Client Details
European broker-dealer and RIA based in Miami.
Description
- Serve as the designated Financial and Operations Principal (FinOp)
- Oversee all broker-dealer financial reporting, including FOCUS filings
- Ensure compliance with SEC, FINRA, and applicable regulatory standards
- Manage net capital calculations and liquidity requirements
- Lead annual audits and act as primary liaison with external auditors
- Implement and maintain internal controls, policies, and procedures
- Oversee general ledger, financial statements, and budgeting process
- Provide strategic financial insights to executive leadership
- Coordinate regulatory examinations and inquiries
- Supervise finance and accounting team members
Profile
Qualifications
- Active Series 27 (FINOP) license required
- 8+ years of experience within a broker-dealer environment
- Prior CFO or senior finance leadership experience strongly preferred
- Deep knowledge of SEC and FINRA regulations (e.g., Rule 15c3-1, 15c3-3)
- Experience with FOCUS reporting and net capital calculations
- Strong leadership and team management skills
- Detail-oriented with a strong control and compliance mindset
- Excellent communication skills, both internal and external
Preferred Background
- Experience in a growing or mid-sized broker-dealer
- Exposure to introducing broker, clearing, or proprietary trading models
- CPA designation is a plus
Job Offer
- Competitive annual salary ranging from $180,000 to $220,000 USD.
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