Job Title: Chief Financial Officer (Self-Clearing Broker-Dealer / FinTech)
Location: New York, NY (Hybrid)
Employment Type: Full-Time
Estimated Compensation: $200-$250k base + Discretionary Performance Bonus
About the Opportunity
We are a high-growth, globally scaled financial technology and brokerage infrastructure firm backed by top-tier international institutional investors. Our proprietary API ecosystem powers institutional trading, global market connectivity, and embedded investing solutions for banks, wealth managers, and digital platforms across multiple continents.
As part of our long-term US growth strategy, we are taking full ownership of our post-trade rails and expanding our domestic broker-dealer into a fully authorized, modern, self-clearing entity.
We are seeking a seasoned, hands-on Chief Financial Officer & Financial and Operations Principal (FinOP / Series 27) to lead our financial regulatory framework from the foundation up. Working directly with executive leadership, you will spearhead the Continuing Membership Application (CMA) process with FINRA, establish capital planning and operational accounting controls, and architect a modern, tech-forward finance function designed for global scale.
This is a rare greenfield build: the backing, capital, and volume of an established global platform combined with the autonomy and blank-canvas impact of building out a US self-clearing infrastructure.
Key Responsibilities
Regulatory Filings & FINOP Oversight: Serve as the designated Financial and Operations Principal (Series 27). Own all financial reporting obligations under SEC Rule 17a-5, including monthly/quarterly FOCUS Parts II/IIA, Form SSOI, Form Custody, and annual audited financial statements.
Capital & Reserve Computations: Direct daily, weekly, and monthly calculations under SEC Rule 15c3-1 (Net Capital) and SEC Rule 15c3-3 (Customer Protection / Special Reserve Bank Account), ensuring robust operational buffers and real-time monitoring.
CMA Leadership & Regulatory Authorization: Drive the finance, capital, and FINOP components of our FINRA Continuing Membership Application (CMA) to obtain self-clearing authorization. Lead regulatory interactions, FINRA interviews, and financial inquiries during the review process.
Policies, Procedures & Controls: Author, establish, and enforce Written Supervisory Procedures (WSPs) and internal controls governing treasury operations, net capital compliance, clearing deposits, customer segregation, and expense sharing.
Clearinghouse & Banking Relationships: Oversee settlement banking, Fedwire/ACH liquidity management, and daily collateral/deposit requirements with DTCC (NSCC/DTC), OCC, and custodian partners.
Financial Operations Architecture: Collaborate with engineering and clearing operations leadership to automate ledger reconciliation, trade capture feeds, margin accounting, and sub-ledger-to-general-ledger flows.
Strategic Financial Planning: Lead management reporting, budget forecasting, audit coordination with external independent auditors, and statutory reporting to executive leadership and the Board of Directors.
Qualifications & Experience
Required Licensing: Active FINRA Series 27 (Financial and Operations Principal) is mandatory. Series 7 or 24 is a plus.
Direct Self-Clearing Experience: 10+ years of progressive financial leadership within a registered broker-dealer, with demonstrated hands-on experience inside a self-clearing / carrying firm.
Regulatory Mastery: Deep, practical command of SEC Rule 15c3-1, SEC Rule 15c3-3, SEA Rule 17a-5, SIPC, and US GAAP broker-dealer accounting standards.
CMA / Expansion Track Record: Direct experience navigating a FINRA CMA (or NMA) for clearing, carrying, or significant business expansion is strongly preferred.
Modern Systems Fluency: Familiarity with modern multi-currency general ledgers, clearing back-office engines, and automated regulatory reporting tools.
Leadership Mindset: A proactive, roll-up-your-sleeves leader who thrives in building processes from scratch rather than simply maintaining legacy routines.
What We Offer
Highly competitive executive base compensation, performance bonus, and long-term incentive/equity participation.
Comprehensive health, dental, vision coverage, and 401k matching.
Modern NYC office with hybrid flexibility.
The opportunity to architect the financial infrastructure of a modern, multi-market clearing powerhouse backed by established global order flow.
