CFO / FinOp (Series 27)

• Lead financial & regulatory oversight for a broker-dealer
• Key role interfacing with FINRA & external auditors

About Our Client

European broker-dealer and RIA based in Miami.

Job 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

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.


The Successful Applicant

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

What's on Offer

• Competitive annual salary ranging from $180,000 to $220,000 USD.

Contact

Lauren VanManen

Quote job ref

JN-052026-7028821