Chief Financial Officer

Halo Investing is a fast-growing financial technology company with a mission to empower investors by providing access to a wide range of protective investment solutions. Our platform offers a marketplace for structured notes, SMAs, defined outcome ETFs, insurance, and annuities, connecting financial advisors and investors to a previously inaccessible market. We are committed to transparency, competition, and efficiency, and we are looking for a visionary CFO to help us navigate our next phase of growth. CFO Position Overview We are seeking a dynamic and experienced Chief Financial Officer (CFO) to join our executive team. This is a Chicago-based (hybrid) role responsible for directing all financial aspects of the company, driving financial strategy, and ensuring the company's long-term financial health. The ideal candidate will be a strategic thinker with a strong background in leading finance and accounting, preferably within a regulated broker-dealer environment in the fintech industry. As a senior leader, you will work closely with the CEO and other executives to make data-driven decisions that will shape the future of Halo Investing. Key Responsibilities Financial Strategy & Leadership Provide strategic and operational leadership, serving as a key financial advisor to the CEO and executive team on strategic planning, financial planning, and investment priorities. Develop and implement financial strategies aligned with company objectives to maximize profits and plan for growth. Provide strategic recommendations based on financial analysis, market trends, and business insights. Regulatory Compliance & Broker-Dealer Operations Oversee all financial operations related to our broker-dealer, including regulatory reporting (FOCUS reports), net capital computations, and compliance. Ensure adherence to all FINRA and SEC financial regulations and requirements. Liaise with auditors and regulators on all broker-dealer financial matters. Financial Planning, Analysis & Operations Lead the annual budgeting, financial forecasting, and long-range planning processes for the firm. Provide in-depth financial analysis to identify key business drivers, trends, and opportunities for performance improvement. Direct all accounting operations, ensuring timely and accurate preparation of financial statements in compliance with GAAP or IFRS. Lead, manage, and mentor the team, fostering a culture of high performance, accountability, and continuous improvement. Investor Relations Oversee investor relations and communication, ensuring timely and accurate reporting to all stakeholders. Qualifications Bachelor's degree in Finance, Accounting, or a related field; CPA and/or MBA strongly preferred. 10+ years of progressive experience in senior finance leadership roles within a regulated financial services firm, including proven experience as a CFO, VP of Finance, FinOps or similar role. Deep knowledge of broker-dealer operations, financial reporting, and regulations; FINRA Series 27 license required, Series 24 highly preferred. Exceptional leadership, communication, and interpersonal skills, with the ability to serve as a key partner on an executive team. #J-18808-Ljbffr